MILWAUKEE – Quest CE, trusted provider of compliance training and tracking technology solutions, today announced the addition of the new Firm Element course, “Research Analysts: Reports, Rules, and Recent SEC Cases” to its e-learning catalog.
This course is intended for any investment professional, particularly anyone in or seeking an analyst role. Registered representatives, investment advisors, compliance staff, and supervisors also would benefit from taking this course. The course covers the world of investment research analysts, from who they are to what they do. Topics covered include the profile, education, and functions of a research analyst; resources they may use to do their job; and the typical content of the reports they prepare. You will also learn about FINRA research analyst rules and registration requirements as well as how that role was involved in some interesting SEC cases.
Course Topics Include:
- Investment Research Analysts
- FINRA Research Analyst Rules
- Regulatory Influence on Research Analysts
- SEC and Conflicts of Interest
- Registration Requirements
For questions regarding this or other Firm Element courses, please contact us here. To view Quest CE’s Firm Element 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.