MILWAUKEE, WI – Quest CE, trusted provider of compliance training and tracking technology solutions, announced today the addition of two new courses, “MSRB Insights: Supervision, Communication, and Conflicts,” and “MSRB Insights: Understanding Roles and Staying Compliant” to its Firm Element e-learning catalog.

These comprehensive courses address critical knowledge gaps in municipal finance compliance, helping firms navigate evolving regulatory requirements.

  • MSRB Insights: Supervision, Communication, and Conflicts explores the everyday compliance risks that can arise in municipal advisory and underwriting activities. Participants will learn how using unapproved communication channels, making political contributions, bypassing supervision processes, or failing to disclose referral arrangements can create regulatory exposure for both you and your firm. Through real-world scenarios and practical guidance, users will understand how to avoid these missteps and ensure compliance with MSRB and SEC rules.
  • MSRB Insights: Understanding Roles and Staying Compliant gives registered representatives a clear look at how municipal advisor and underwriter responsibilities differ and why these differences matter for compliance. Participants will learn when Series 50 qualification is required, how fiduciary duty differs from fair dealing standards, and how casual comments can cross into regulated municipal advice and trigger enforcement risks. Through real-world scenarios and case studies, learners will understand dual capacity risks, role disclosures, and communication requirements to stay compliant and protect their professional reputation.

Please note: These courses will be replacing the existing FE course titled Municipal Advisors, Municipal Underwriters, Advice, and the MSRB.

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