MILWAUKEE, WI – Quest CE, trusted provider of compliance training and tracking technology solutions, announced today the addition of its new course, “Insider Trading: Compliance, Risks, and Ethical Responsibilities” to its Firm Element e-learning catalog.

Insider trading violations carry severe penalties, including regulatory sanctions, reputation damage, and criminal prosecution. This course equips financial professionals with essential knowledge of insider trading laws, compliance practices, and ethical obligations to navigate SEC and FINRA requirements effectively. Participants will gain the tools to ensure compliance, protect market integrity, and safeguard their careers.

This course focuses on three core topics: 1) Regulatory Updates: Strengthening Insider Trading Protections 2) Shadow Trading- an Expanding Enforcement Focus and 3) Understanding the Consequences of Insider Trading.

Course Topics Include:

  • Defining and Identifying MNPI
  • Social Media and Technology- Related Risks
  • Ethical Considerations in Insider Trading

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