Quest CE Offers FINRA “Annual Compliance Reminders for Registered Representatives” Course
Scenarios throughout the course, adapted from actual disciplinary actions, remind registered representatives of their compliance obligations. At completion of the course, students will be able to identify common regulatory requirements, meet compliance obligations while conducting daily business activities and understand the potential consequences of failing to comply with policies established by a firm and FINRA’s rules.
Volume 1 of FINRA’s Annual Compliance Reminders covers:
• Outside business activities
• Private securities transactions
• Form U4 disclosures
• Responding to compliance requests
• Providing accurate customer information
• Customer complaints and settlements
• Handling customer and firm funds
• Trade authorizations
• Conflicts of interest related to borrowing money from customers
The course is delivered in a self-paced online presentation, providing a convenient and accessible way for representatives to complete the FINRA training. Practice questions are located within the course to assist students in successful exam completion. Additionally, certificates will be available for print upon completion of the course.
Quest CE is committed to providing customized firm element solutions and can design a program to meet the needs of any client. For inquires about the course or implementing a Firm Element Program, please contact a dedicated Quest CE Account Executive at 877-593-3366 or e-mail firstname.lastname@example.org.
About Quest CE
Since 1986, Quest CE has built a reputation of being the premier provider of Compliance Education to the financial services industry. In addition to offering Providership Administration and insurance continuing education (CE) for professionals holding insurance licenses and professional designations like the CFP, CPA, CLE, CIMA and CLU/ChFC designations, Quest also provides a complete spectrum of compliance training solutions including the Financial Industry Regulatory Authority (FINRA) annually required Firm Element Training for registered representatives, On-demand Annual Compliance Meetings, Annual Compliance Questionnaires, Needs Analysis Surveys, Outside Business Activity Tracking, Gifts and Entertainment Tracking and Political Contributions Tracking.
With a client retention rate of 93% and a growth rate of over 770% since January 1, 2005, more and more people are discovering why Quest CE is the Next Generation of Compliance Training Solutions. Quest CE serves more than 280 leading insurance carriers, broker/dealers, banks, and other financial institutions. Quest is a privately held firm which allows us to quickly meet the ever-changing needs of their clients. Quest’s commitment is to provide advanced custom solutions at cost effective rates while providing a level of service that greatly surpasses that of our competitors. Quest provides a single source solution for organizations training and compliance needs, saving you both time and money.
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Milwaukee, WI 53224
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