MILWAUKEE – Quest CE, trusted provider of compliance training and tracking technology solutions, today announced the release of a new FINRA e-learning course.
The course, “FINRA – Compliance Reminders for Supervisors presents scenarios adapted from actual FINRA disciplinary cases to illustrate how adequate supervision and WSPs may prevent or mitigate the risk of similar violations. It aims to help identify red flags of violative behavior and how supervisors can follow up appropriately. It covers several key areas, including reviews of correspondence, outside business activities, private securities transactions, and Form U4 disclosures.
Course Topics Include:
- Regulatory Framework of Supervision
- Critical Role of Supervisor
- FINRA’s Supervision Rule (Rule 3110)
- Supervisor Designation
- Supervisor Experience/Training and Qualification
- FINRA’s Supervisory Control System (Rule 3120)
- FINRA’s Annual Certification of Compliance and Supervisory Processes (Rule 3130)
- Supervisory Reviews
- Reviews of Correspondence and Internal Communications
- Reviewing Transactions and Following Up on Red Flags
- Transaction Review and Investigation
- Customer Complaints
- Obligation to Investigate and Take Appropriate Action
- Supervision of RRs
- OBA Obligations of RRs and Firms
- Private Securities Transaction Obligations of RRs and Firms
- Firm and RR Obligations in Private Securities Transactions
- Assessing OBAs and Private Securities Transactions
- Supervision of RRs and FINRA Form U4 Obligations
For questions regarding this or other Firm Element courses, please contact us here. To view FINRA’s full e-learning course catalog, click here.
About Quest CE
For over thirty-five years, Quest CE has been a trusted provider of compliance training and tracking solutions to the financial services industry. In partnering with more than 2,400 leading insurance carriers, broker-dealers, registered investment advisors, and other financial institutions, Quest CE offers a full suite of proprietary technology solutions while delivering an unmatched level of customer service.
Through the delivery of advanced custom solutions, Quest CE honors its mission to empower financial institutions with easy-to-use technology that simplifies their compliance and continuing education programs. For more information on Quest CE, visit www.questce.com.