Quest CE Presents: the Outside Brokerage Account Tracking Survey
FINRA Rule 3210(a) prohibits any associated person without the prior written consent of his or her employer from opening or otherwise establishing at another member firm or at any other financial institution, any account in which securities transactions can be effected and in which such associated person has a personal financial interest. The rule further adds a new requirement that, as a condition to granting prior written consent the employer member must instruct the associated person to have the executing member provide duplicate account statements and confirmations to the employer member.
Quest CE’s Transaction Tracking Surveys are performed through an online review process that allows representatives to evaluate their outside securities account activity along with that of immediate family members (spouse, child, parents, mother-in-law, father-in-law, etc.). In twelve survey questions, Quest CE’s Outside Brokerage Account Tracking Survey produces automated, real time results that will help you become FINRA complaint through assessing your current compliance with rules and regulations regarding outside brokerage tracking including checking for employer approval, appropriate measures of account disclosure including account statements, and defining the type of account/s.
Quest CE is the industry leader for FINRA compliance tools. If you would like to learn more about Quest CE’s Outside Brokerage Account Tracking Survey, please contact our sales department at 877-593-3366 or e-mail them at email@example.com.
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 CE 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 300 leading insurance carriers, broker/dealers, banks, and other financial institutions. Quest CE is a privately held firm which allows us to quickly meet the ever-changing needs of our clients. Quest CE’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 CE provides a single source solution for organizations training and compliance needs, saving you both time and money.
Our Mission is to provide advanced custom solutions at cost effective rates while providing a level of service that greatly surpasses that of our competitors. Quest CE provides a single source solution for organizations training and compliance needs, saving them both time and money
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Toll Free: 877-593-3366
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