MILWAUKEE, WI – Quest CE, a trusted provider of compliance training and tracking technology solutions, announced today the addition of a new course, “Staying Within the Lines: A Wholesaler’s Guide to Gifts and Entertainment” to its Firm Element e-learning catalog.

Wholesalers gain a practical overview of FINRA rules governing gifts and business entertainment. The course covers key concepts including limits, valuation, aggregation, and recordkeeping, along with how to properly distinguish between gifts and entertainment. Through real-world scenarios and enforcement-based examples, learners develop the judgment needed to manage relationships appropriately while maintaining compliance and minimizing regulatory risk.

This course focuses on three core topics: 1) The Rule Framework: What Governs These Activities, 2) Gifts Vs. Business Entertainment: Making the Right Call, and 3) Core Rules For Wholesalers: Limits, Valuation and Aggregation.

Course Topics Include:   

  • Applying Firm Policy
  • Core Rules for Wholesalers
  • Gifts Vs. Business Entertainment

For questions regarding this or other Firm Element courses, please contact us here. To view Quest CE’s Firm Element course catalog, click here.

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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.