MILWAUKEE – Quest CE, trusted provider of compliance training and tracking technology solutions, announced the addition of the new Firm Element course, “FINRA Rules 3130 and 3120: Supervisory Controls” to its Firm Element e-learning catalog.
Elevate your firm’s training program with our latest course on FINRA Rules 3120 and 3130. Specifically, this course provides a comprehensive understanding of supervisory control policies, procedures, and CEO certification requirements that are crucial for today’s financial professionals. By the end of this training, course takers will be equipped to confidently navigate these complex regulations and enhance your firm’s compliance practices.
This course will focus on mastering the ins and outs of Rule 3120, understanding why CEOs must annually certify their firm’s compliance process and gain the confidence to navigate the regulatory landscapes with ease.
Course Topics Include:
- Recent Regulator Focus
- Summary of the Rule Requirements
- Steps for an Effective Plan
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.