This course explains the unique characteristics and common costs associated with 529 savings plans and ABLE programs. Participants are presented with scenarios that emphasize a registered representative's regulatory responsibilities when recommending these products to clients. FINRA - 529 Savings Plans and ABLE Programs is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA - 529 Savings Plans and ABLE Programs in Renaissance. Any advice or commentary given in Renaissance about FINRA - 529 Savings Plans and ABLE Programs is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA - 529 Savings Plans and ABLE Programs at its discretion. This course is not included in Quest CE's Firm Element Program.
This course uses scenarios adapted from actual FINRA disciplinary actions to remind institutional sales representatives of their compliance obligations. Volume 1 covers social media and public communications, Form U4 disclosures, private securities transactions, handling firm funds and maintaining ethical behavior when fulfilling continuing education requirements. FINRA - Annual Compliance Reminders for Institutional Registered Representatives - Vol. 1 is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA - Annual Compliance Reminders for Institutional Registered Representatives - Vol. 1 in Renaissance. Any advice or commentary given in Renaissance about FINRA - Annual Compliance Reminders for Institutional Registered Representatives - Vol. 1 is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA - Annual Compliance Reminders for Institutional Registered Representatives - Vol. 1 at its discretion. This course is not included in Quest CE's Firm Element Program.
This course uses scenarios adapted from actual FINRA disciplinary actions to remind institutional registered representatives about their compliance obligations. Volume 2 covers responding to FINRA requests for information, borrowing money from clients, ethical behavior and more. FINRA - Annual Compliance Reminders for Institutional Registered Representatives - Vol. 2 is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA - Annual Compliance Reminders for Institutional Registered Representatives - Vol. 2 in Renaissance. Any advice or commentary given in Renaissance about FINRA - Annual Compliance Reminders for Institutional Registered Representatives - Vol. 2 is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA - Annual Compliance Reminders for Institutional Registered Representatives - Vol. 2 at its discretion. This course is not included in Quest CE's Firm Element Program.
This e-learning course uses scenarios adapted from actual FINRA disciplinary actions to remind institutional registered representatives about their compliance obligations. Volume 3 covers proper handling of customer accounts and funds, outside business activities, communications with the public and more. FINRA - Annual Compliance Reminders for Institutional Registered Representatives - Vol. 3 is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA - Annual Compliance Reminders for Institutional Registered Representatives - Vol. 3 in Renaissance. Any advice or commentary given in Renaissance about FINRA - Annual Compliance Reminders for Institutional Registered Representatives - Vol. 3 is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA - Annual Compliance Reminders for Institutional Registered Representatives - Vol. 3 at its discretion. This course is not included in Quest CE's Firm Element Program.
This course uses scenarios adapted from actual FINRA disciplinary actions to remind institutional registered representatives about their compliance obligations. Volume 4 covers private securities transactions, use of social media, conflicts of interest, ethical behavior and customer complaints. FINRA - Annual Compliance Reminders for Institutional Registered Representatives - Vol. 4 is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA - Annual Compliance Reminders for Institutional Registered Representatives - Vol. 4 in Renaissance. Any advice or commentary given in Renaissance about FINRA - Annual Compliance Reminders for Institutional Registered Representatives - Vol. 4 is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA - Annual Compliance Reminders for Institutional Registered Representatives - Vol. 4 at its discretion. This course is not included in Quest CE's Firm Element Program.
This course uses scenarios adapted from actual disciplinary actions to remind registered representatives about their compliance obligations. Volume 1 covers outside business activities, private securities transactions, Form U4 disclosures, responding to compliance requests, providing accurate customer information, customer complaints and settlements, email, handling customer and firm funds, trade authorizations and conflicts of interest related to borrowing money from customers. FINRA - Annual Compliance Reminders for Registered Representatives - Vol. 1 is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA - Annual Compliance Reminders for Registered Representatives - Vol. 1 in Renaissance. Any advice or commentary given in Renaissance about FINRA - Annual Compliance Reminders for Registered Representatives - Vol. 1 is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA - Annual Compliance Reminders for Registered Representatives - Vol. 1 at its discretion. This course is not included in Quest CE's Firm Element Program.
This course uses scenarios adapted from actual FINRA disciplinary actions to remind registered representatives about their compliance obligations. Volume 2 covers social media and public communications, trade authorizations, Form U4 disclosures, outside business activities, private securities transactions, handling customer funds related to borrowing money from customers, and maintaining ethical behavior when fulfilling continuing education requirements. FINRA - Annual Compliance Reminders for Registered Representatives - Vol. 2 is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA - Annual Compliance Reminders for Registered Representatives - Vol. 2 in Renaissance. Any advice or commentary given in Renaissance about FINRA - Annual Compliance Reminders for Registered Representatives - Vol. 2 is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA - Annual Compliance Reminders for Registered Representatives - Vol. 2 at its discretion. This course is not included in Quest CE's Firm Element Program.
This course uses scenarios adapted from actual FINRA disciplinary actions to remind registered representatives about their compliance obligations. Volume 3 covers communications with the public, suitability, ethical behavior and more. FINRA - Annual Compliance Reminders for Registered Representatives - Vol. 3 is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA - Annual Compliance Reminders for Registered Representatives - Vol. 3 in Renaissance. Any advice or commentary given in Renaissance about FINRA - Annual Compliance Reminders for Registered Representatives - Vol. 3 is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA - Annual Compliance Reminders for Registered Representatives - Vol. 3 at its discretion. This course is not included in Quest CE's Firm Element Program.
This e-learning course uses scenarios adapted from actual FINRA disciplinary actions to remind registered representatives about their compliance obligations. Volume 4 covers handling customer accounts and funds properly, unauthorized transactions, outside business activities, suitability and more. FINRA - Annual Compliance Reminders for Registered Representatives - Vol. 4 is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA - Annual Compliance Reminders for Registered Representatives - Vol. 4 in Renaissance. Any advice or commentary given in Renaissance about FINRA - Annual Compliance Reminders for Registered Representatives - Vol. 4 is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA - Annual Compliance Reminders for Registered Representatives - Vol. 4 at its discretion. This course is not included in Quest CE's Firm Element Program.
This course uses scenarios adapted from actual FINRA disciplinary actions to remind registered representatives about their compliance obligations. Volume 5 covers responding to regulatory requests in a timely manner, recognizing red flags, maintaining ethical behavior when fulfilling continuing education requirements, suitability, proper handling of customer accounts and observing high standards commercial honor. FINRA - Annual Compliance Reminders for Registered Representatives - Vol. 5 is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA - Annual Compliance Reminders for Registered Representatives - Vol. 5 in Renaissance. Any advice or commentary given in Renaissance about FINRA - Annual Compliance Reminders for Registered Representatives - Vol. 5 is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA - Annual Compliance Reminders for Registered Representatives - Vol. 5 at its discretion. This course is not included in Quest CE's Firm Element Program.
This course uses scenarios adapted from actual FINRA disciplinary actions to remind registered representatives about their compliance obligations. Volume 6 covers borrowing from clients, completing and amending Form U4s, conducting business using approved communication channels, disclosing participation in outside business activities, exercising discretion in customer accounts, falsifying documents related to customer accounts, maintaining accurate books and records, responding to FINRA requests for information, responding to firm compliance requests and submitting business expense reimbursements. FINRA - Annual Compliance Reminders for Registered Representatives - Vol. 6 is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA - Annual Compliance Reminders for Registered Representatives - Vol. 6 in Renaissance. Any advice or commentary given in Renaissance about FINRA - Annual Compliance Reminders for Registered Representatives - Vol. 6 is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA - Annual Compliance Reminders for Registered Representatives - Vol. 6 at its discretion. This course is not included in Quest CE's Firm Element Program.
This course uses scenarios adapted from actual FINRA disciplinary actions to remind registered representatives about their compliance obligations. Volume 8 covers cybersecurity, Form U4 disclosures, insider trading and private securities transactions. FINRA - Annual Compliance Reminders for Registered Representatives - Vol. 8 is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA - Annual Compliance Reminders for Registered Representatives - Vol. 8 in Renaissance. Any advice or commentary given in Renaissance about FINRA - Annual Compliance Reminders for Registered Representatives - Vol. 8 is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA - Annual Compliance Reminders for Registered Representatives - Vol. 8 at its discretion. This course is not included in Quest CE's Firm Element Program.
EL-ELC257
59
60
- Identify common regulatory requirements
- Meet your compliance obligations as you go about your daily business
- Recognize the potential consequences of failing to comply with your firm's policies and FINRA's rules
This course uses scenarios adapted from actual FINRA disciplinary actions to remind registered representatives about their compliance obligations. Volume 9 covers cybersecurity, ethics, financial exploitation of seniors, outside business activities and private securities transactions, professional designations and suitability, and 529 savings plans. FINRA - Annual Compliance Reminders for Registered Representatives - Vol. 9 is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA - Annual Compliance Reminders for Registered Representatives - Vol. 9 in Renaissance. Any advice or commentary given in Renaissance about FINRA - Annual Compliance Reminders for Registered Representatives - Vol. 9 is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA - Annual Compliance Reminders for Registered Representatives - Vol. 9 at its discretion. This course is not included in Quest CE's Firm Element Program.
This course uses scenarios adapted from actual FINRA disciplinary actions to remind registered representatives about their compliance obligations. It covers suitability, communications with the public, outside business activities, concealing the improper receipt of customer funds, falsifying documents related to customer accounts, misuse of discretionary power, unauthorized trading and more. FINRA - Annual Compliance Reminders for Retail Registered Representatives - Vol. 7 is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA - Annual Compliance Reminders for Retail Registered Representatives - Vol. 7 in Renaissance. Any advice or commentary given in Renaissance about FINRA - Annual Compliance Reminders for Retail Registered Representatives - Vol. 7 is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA - Annual Compliance Reminders for Retail Registered Representatives - Vol. 7 at its discretion. This course is not included in Quest CE's Firm Element Program.
EL-ELC249
95
30
FINRA - Annual Compliance Reminders for Supervisors - Vol. 1
8885
Intermediate
This course uses scenarios adapted from actual FINRA disciplinary actions to remind supervisors about their compliance and supervision obligations. Volume 1 covers requirements related to promptly amending Forms U4, reviewing customer accounts, suitability, outside business activities and communications with the public. FINRA - Annual Compliance Reminders for Supervisors - Vol. 1 is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA - Annual Compliance Reminders for Supervisors - Vol. 1 in Renaissance. Any advice or commentary given in Renaissance about FINRA - Annual Compliance Reminders for Supervisors - Vol. 1 is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA - Annual Compliance Reminders for Supervisors - Vol. 1 at its discretion. This course is not included in Quest CE's Firm Element Program.
EL-ELC252
72
30
- Identify common regulatory requirements
- Meet your compliance obligations as you go about your daily supervision responsibilities; and
- Understand the potential consequences of failing to supervise
FINRA - Books and Records
8184
Overview
This course explains the obligations of registered persons to maintain records of actions undertaken in their capacity as representatives of the firm. Scenarios illustrate and reinforce compliance with recordkeeping and retention requirements when electronic media are involved. FINRA - Books and Records is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA - Books and Records in Renaissance. Any advice or commentary given in Renaissance about FINRA - Books and Records is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA - Books and Records at its discretion. This course is not included in Quest CE's Firm Element Program.
EL-ELC131
59
60
FINRA - Books and Records for Operations Professionals
9645
Intermediate
This course is designed to help operations professionals understand their books and records obligations when conducting firm business. Scenarios emphasize the importance of adhering to regulatory recordkeeping and retention requirements and firm-specific guidance. FINRA - Books and Records for Operations Professionals is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA - Books and Records for Operations Professionals in Renaissance. Any advice or commentary given in Renaissance about FINRA - Books and Records for Operations Professionals is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA - Books and Records for Operations Professionals at its discretion. This course is not included in Quest CE's Firm Element Program.
EL-ELC256
69
30
FINRA - Business Gifts: Independent Registered Representatives Responsibilities
9049
Intermediate
This course presents regulatory requirements and industry compliance practices related to business gifts to help you understand your role as an independent registered representative in complying with FINRA rules. Brief interactive activities and scenarios demonstrate how to determine whether gifts are business-related, and illustrate proper gift-aggregation and recordkeeping techniques. FINRA - Business Gifts: Independent Registered Representative Responsibilities is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA - Business Gifts: Independent Registered Representative Responsibilities in Renaissance. Any advice or commentary given in Renaissance about FINRA - Business Gifts: Independent Registered Representative Responsibilities is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA - Business Gifts: Independent Registered Representative Responsibilities at its discretion. This course is not included in Quest CE's Firm Element Program.
EL-ELC187
47
30
FINRA - Business Gifts: Institutional Sales Representative Responsibilities
9050
Overview
This course presents regulatory requirements and industry compliance practices related to business gifts to help you understand your role as an institutional sales representative in complying with FINRA rules. Brief interactive activities and scenarios demonstrate how to determine whether gifts are business-related, and illustrate proper gift-aggregation and recordkeeping techniques. FINRA - Business Gifts: Institutional Sales Representative Responsibilities is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA - Business Gifts: Institutional Sales Representative Responsibilities in Renaissance. Any advice or commentary given in Renaissance about FINRA - Business Gifts: Institutional Sales Representative Responsibilities is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA - Business Gifts: Institutional Sales Representative Responsibilities at its discretion. This course is not included in Quest CE's Firm Element Program.
EL-ELC188
48
24
FINRA - Business Gifts: Registered Representative Responsibilities
9184
Intermediate
This course presents regulatory requirements and industry compliance practices related to business gifts to help you understand your role as a registered representative in complying with FINRA rules. Scenarios demonstrate how to determine whether gifts are business-related, and illustrate proper gift-aggregation and recordkeeping techniques. FINRA - Business Gifts: Registered Representative Responsibilities is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA - Business Gifts: Registered Representative Responsibilities in Renaissance. Any advice or commentary given in Renaissance about FINRA - Business Gifts: Registered Representative Responsibilities is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA - Business Gifts: Registered Representative Responsibilities at its discretion. This course is not included in Quest CE's Firm Element Program.
EL-ELC165
43
30
FINRA - Business Gifts: Understanding Compliance Responsibilities
9051
Intermediate
This course presents regulatory requirements and industry compliance practices related to business gifts to help you understand your role as a member of the compliance staff in complying with FINRA rules. Scenarios demonstrate how to determine whether gifts are business-related, and illustrate proper gift-aggregation and recordkeeping techniques. FINRA - Business Gifts: Understanding Compliance Responsibilities is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA - Business Gifts: Understanding Compliance Responsibilities in Renaissance. Any advice or commentary given in Renaissance about FINRA - Business Gifts: Understanding Compliance Responsibilities is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA - Business Gifts: Understanding Compliance Responsibilities at its discretion. This course is not included in Quest CE's Firm Element Program.
EL-ELC167
44
30
FINRA - Business Gifts: Understanding Supervisory Responsibilities
9052
Intermediate
This course presents regulatory requirements and industry compliance practices related to business gifts to help you understand your role as a supervisor in complying with FINRA rules. Scenarios demonstrate how to determine whether gifts are business-related, and illustrate proper gift-aggregation and recordkeeping techniques. FINRA - Business Gifts: Understanding Supervisory Responsibilities is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA - Business Gifts: Understanding Supervisory Responsibilities in Renaissance. Any advice or commentary given in Renaissance about FINRA - Business Gifts: Understanding Supervisory Responsibilities is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA - Business Gifts: Understanding Supervisory Responsibilities at its discretion. This course is not included in Quest CE's Firm Element Program.
EL-ELC166
44
30
FINRA - Business Gifts: Understanding Wholesaler Responsibilities
9053
Overview
This course presents regulatory requirements and industry compliance practices related to business gifts to help you understand your role as a wholesaler in complying with FINRA rules. Brief interactive activities and scenarios demonstrate how to determine whether gifts are business-related, and illustrate proper gift-aggregation and recordkeeping techniques. FINRA - Business Gifts: Understanding Wholesaler Responsibilities is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA - Business Gifts: Understanding Wholesaler Responsibilities in Renaissance. Any advice or commentary given in Renaissance about FINRA - Business Gifts: Understanding Wholesaler Responsibilities is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA - Business Gifts: Understanding Wholesaler Responsibilities at its discretion. This course is not included in Quest CE's Firm Element Program.
EL-ELC189
46
23
FINRA - Communications With the Public: Compliance Issues for Independent Registered Representatives
8187
Overview
This course helps independent registered representatives understand their compliance responsibilities when communicating with clients. It covers the consequences of noncompliance with requirements for communicating with the public. FINRA - Communications With the Public: Compliance Issues for Independent Registered Representatives is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA - Communications With the Public: Compliance Issues for Independent Registered Representatives in Renaissance. Any advice or commentary given in Renaissance about FINRA - Communications With the Public: Compliance Issues for Independent Registered Representatives is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA - Communications With the Public: Compliance Issues for Independent Registered Representatives at its discretion. This course is not included in Quest CE's Firm Element Program.
EL-ELC212
81
30
FINRA - Communications With the Public: Compliance Issues for Wholesalers
9185
Overview
This course is designed to help wholesalers understand their compliance responsibilities. It covers the consequences of noncompliance with requirements for communications with the public. FINRA - Communications With the Public: Compliance Issues for Wholesalers is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA - Communications With the Public: Compliance Issues for Wholesalers in Renaissance. Any advice or commentary given in Renaissance about FINRA - Communications With the Public: Compliance Issues for Wholesalers is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA - Communications With the Public: Compliance Issues for Wholesalers at its discretion. This course is not included in Quest CE's Firm Element Program.
EL-ELC211
54
45
FINRA - Communications with the Public: What Retail Staff Need to Know
8181
Overview
This course covers situations retail registered representatives face when communicating with clients, and the consequences of non-compliance with requirements for approval, disclosure and retention of communications with the public. FINRA - Communications with the Public: What Retail Staff Need to Know is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA - Communications with the Public: What Retail Staff Need to Know in Renaissance. Any advice or commentary given in Renaissance about FINRA - Communications with the Public: What Retail Staff Need to Know is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA - Communications with the Public: What Retail Staff Need to Know at its discretion.This course is not included in Quest CE's Firm Element Program.
EL-ELC210
72
30
FINRA - Conflicts of Interest
9186
Overview
This course highlights conflicts of interests that could arise between registered representatives, clients and firms in the securities industry. Conflict-related scenarios are presented to help registered representatives learn how to better identify, mitigate and manage conflicts of interest in their business. FINRA - Conflicts of Interest is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA - Conflicts of Interest in Renaissance. Any advice or commentary given in Renaissance about FINRA - Conflicts of Interest is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA - Conflicts of Interest at its discretion. This course is not included in Quest CE's Firm Element Program.
EL-ELC242
48
30
FINRA - Corporate and Governments Bonds: Regulatory Considerations
9337
Intermediate
This course addresses some of the inherent risks associated with corporate and government bonds, including Treasury, agency and government-sponsored enterprise (GSE) bonds. It is designed to help you better understand risks, sales practice issues, rules and regulations related to these bonds. FINRA - Corporate and Government Bonds: Regulatory Considerations is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA - Corporate and Government Bonds: Regulatory Considerations in Renaissance. Any advice or commentary given in Renaissance about FINRA - Corporate and Government Bonds: Regulatory Considerations is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA - Corporate and Government Bonds: Regulatory Considerations at its discretion. This course is not included in Quest CE's Firm Element Program.
EL-ELC226
79
60
FINRA - Customer Information Protection for Registered Representatives
8831
Overview
This course covers concepts to help registered representatives understand procedures for protecting confidential personal customer information and detecting possible breaches in information security. It provides suggestions for what to do if customer information is compromised and steps to take to better protect this information. FINRA - Customer Information Protection for Registered Representatives is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA - Customer Information Protection for Registered Representatives in Renaissance. Any advice or commentary given in Renaissance about FINRA - Customer Information Protection for Registered Representatives is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA - Customer Information Protection for Registered Representatives at its discretion. This course is not included in Quest CE's Firm Element Program.
EL-ELC155
69
60
FINRA - Customer Information Protection for Supervisors
9298
Intermediate
This course covers concepts to help supervisors implement firm procedures for protecting confidential personal customer information and detecting possible breaches in information security. It provides suggestions for what to do if customer information is compromised and steps to take to better protect this information. FINRA - Customer Information Protection for Supervisors is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA - Customer Information Protection for Supervisors in Renaissance. Any advice or commentary given in Renaissance about FINRA - Customer Information Protection for Supervisors is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA - Customer Information Protection for Supervisors at its discretion. This course is not included in Quest CE's Firm Element Program.
EL-ELC156
64
60
FINRA - Cybersecurity - Supervisors: Understanding Your Role
9277
Overview
This course focuses on the necessity for cybersecurity controls in your day-to-day supervision of registered representatives, and includes a review of possible consequences of lapses. Cybersecurity-related scenarios are presented to help supervisors learn how to recognize and respond to cyber threats. FINRA - Cybersecurity - Supervisors: Understanding Your Role is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA - Cybersecurity - Supervisors: Understanding Your Role in Renaissance. Any advice or commentary given in Renaissance about FINRA - Cybersecurity - Supervisors: Understanding Your Role is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA - Cybersecurity - Supervisors: Understanding Your Role at its discretion. This course is not included in Quest CE's Firm Element Program.
EL-ELC254
43
30
FINRA - Cybersecurity: Understanding Your Role
8180
Overview
This course focuses on the necessity for cybersecurity controls in your day-to-day business. It will help you identify some of the cyber threats that can harm you, your customers and your firm. The course will also help you better understand the rules and regulations that apply to cybersecurity. FINRA - Cybersecurity: Understanding Your Role is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA - Cybersecurity: Understanding Your Role in Renaissance. Any advice or commentary given in Renaissance about FINRA - Cybersecurity: Understanding Your Role is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA - Cybersecurity: Understanding Your Role at its discretion. This course is not included in Quest CE's Firm Element Program.
EL-ELC238
56
30
FINRA - Debt Mark-Ups and Disclosure Requirements
9187
Intermediate
This course covers rules and regulatory guidance surrounding the identification of prevailing market price and the factors to consider when determining mark-ups on transactions in debt securities. FINRA - Debt Mark-Ups and Disclosure Requirements is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA - Debt Mark-Ups and Disclosure Requirements in Renaissance. Any advice or commentary given in Renaissance about FINRA - Debt Mark-Ups and Disclosure Requirements is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA - Debt Mark-Ups and Disclosure Requirements at its discretion. This course is not included in Quest CE's Firm Element Program.
EL-ELC143
63
30
FINRA - Electronic Communications: What Independent Registered Representatives Need to Know
9188
Overview
This course helps independent registered representatives understand their responsibilities with respect to electronic communications. It shows how regulatory standards apply to social media and other electronic communications. FINRA - Electronic Communications: What Independent Registered Representatives Need to Know is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA - Electronic Communications: What Independent Registered Representatives Need to Know in Renaissance. Any advice or commentary given in Renaissance about FINRA - Electronic Communications: What Independent Registered Representatives Need to Know is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA - Electronic Communications: What Independent Registered Representatives Need to Know at its discretion. This course is not included in Quest CE's Firm Element Program.
EL-ELC216
87
30
FINRA - Electronic Communications: What Retail Staff Need to Know
8193
Overview
This course helps retail registered representatives understand the requirements applicable to all communications with the public and shows how regulatory standards apply to social media and other electronic communications. FINRA - Electronic Communications: What Retail Staff Need to Know is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA - Electronic Communications: What Retail Staff Need to Know in Renaissance. Any advice or commentary given in Renaissance about FINRA - Electronic Communications: What Retail Staff Need to Know is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA - Electronic Communications: What Retail Staff Need to Know at its discretion. This course is not included in Quest CE's Firm Element Program.
EL-ELC213
89
30
FINRA - Electronic Communications: What Supervisors Need to Know
9189
Intermediate
This course helps supervisors understand their responsibilities with respect to electronic communications. It shows how regulatory standards apply to social media and other electronic communications. FINRA - Electronic Communications: What Supervisors Need to Know is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA - Electronic Communications: What Supervisors Need to Know in Renaissance. Any advice or commentary given in Renaissance about FINRA - Electronic Communications: What Supervisors Need to Know is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA - Electronic Communications: What Supervisors Need to Know at its discretion. This course is not included in Quest CE's Firm Element Program.
EL-ELC214
92
60
FINRA - Electronic Communications: What Wholesalers Need to Know
9190
Overview
This course helps wholesalers understand their compliance responsibilities with respect to electronic communications. It shows how regulatory standards apply to social media and other electronic communications. FINRA - Electronic Communications: What Wholesalers Need to Know is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA - Electronic Communications: What Wholesalers Need to Know in Renaissance. Any advice or commentary given in Renaissance about FINRA - Electronic Communications: What Wholesalers Need to Know is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA - Electronic Communications: What Wholesalers Need to Know at its discretion.
This course is not included in Quest CE's Firm Element Program.
EL-ELC215
85
60
FINRA - Ethical Considerations for Institutional Sales Representatives
9191
Overview
This course presents six common ethical principles and selected decision-making models for institutional sales representatives to consider when facing ethical dilemmas. Scenarios demonstrate how these models can be practically applied to common ethical challenges faced by securities professionals. FINRA - Ethical Considerations for Institutional Sales Representatives is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA - Ethical Considerations for Institutional Sales Representatives in Renaissance. Any advice or commentary given in Renaissance about FINRA - Ethical Considerations for Institutional Sales Representatives is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA - Ethical Considerations for Institutional Sales Representatives at its discretion.
This course is not included in Quest CE's Firm Element Program.
EL-ELC173
54
35
FINRA - Ethical Considerations for Operations Professionals
9192
Overview
This course presents six common ethical principles and selected decision-making models for operations professionals to consider when facing ethical dilemmas. Scenarios demonstrate how these models can be practically applied to common ethical challenges faced by securities professionals. FINRA - Ethical Considerations for Operations Professionals is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA - Ethical Considerations for Operations Professionals in Renaissance. Any advice or commentary given in Renaissance about FINRA - Ethical Considerations for Operations Professionals is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA - Ethical Considerations for Operations Professionals at its discretion.
This course is not included in Quest CE's Firm Element Program.
EL-ELC172
52
35
FINRA - Ethical Considerations for Registered Representatives
8188
Overview
This course presents six common ethical principles and selected decision-making models for registered representatives to consider when facing ethical dilemmas. Scenarios demonstrate how these models can be practically applied to common ethical challenges faced by securities professionals. FINRA - Ethical Considerations for Registered Representatives is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA - Ethical Considerations for Registered Representatives in Renaissance. Any advice or commentary given in Renaissance about FINRA - Ethical Considerations for Registered Representatives is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA - Ethical Considerations for Registered Representatives at its discretion.
This course is not included in Quest CE's Firm Element Program.
EL-ELC170
53
24
FINRA - Ethical Considerations for Supervisors
9193
Overview
This course presents six common ethical principles and selected decision-making models for supervisors to consider when facing ethical dilemmas. Scenarios demonstrate how these models can be practically applied to common ethical challenges faced by securities professionals. FINRA - Ethical Considerations for Supervisors is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA - Ethical Considerations for Supervisors in Renaissance. Any advice or commentary given in Renaissance about FINRA - Ethical Considerations for Supervisors is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA - Ethical Considerations for Supervisors at its discretion. This course is not included in Quest CE's Firm Element Program.
EL-ELC171
62
30
FINRA - Exchange-Traded Products: Understanding Leveraged and Inverse ETPs
8174
Overview
This course explains exchange-traded products (ETPs), with a particular focus on leveraged and inverse ETPs. It describes the factors that can affect the performance of these products, including the effect of compounding on daily reset, and identifies the benefits and risks of investing in these non-traditional ETPs. FINRA - Exchange-Traded Products: Understanding Leveraged and Inverse ETPs is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA - Exchange-Traded Products: Understanding Leveraged and Inverse ETPs in Renaissance. Any advice or commentary given in Renaissance about FINRA - Exchange-Traded Products: Understanding Leveraged and Inverse ETPs is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA - Exchange-Traded Products: Understanding Leveraged and Inverse ETPs at its discretion. This course is not included in Quest CE's Firm Element Program.
EL-ELC179
54
30
NEW! - FINRA - Financial Crimes
12812
Intermediate
This course is designed to help registered representatives understand their responsibility to recognize and report red flags of financial crimes, which may occur at or through their firm. It also includes best practices for protecting clients and financial firms from the illicit activity. FINRA - Financial Crimes is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA - Financial Crimes in Renaissance. Any advice or commentary given in Renaissance about FINRA - Financial Crimes is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA - Financial Crimes at its discretion. This course is not included in Quest CE's Firm Element Program.
EL-ELC262
90
60
FINRA - Financial Exploitation of Senior and Vulnerable Adults
12372
Overview
This course is designed to help registered representatives understand their responsibilities in protecting senior and vulnerable adult clients from financial exploitation. Scenarios demonstrate the importance of recognizing and escalating respective red flags, and highlight specific rules and regulations that can help registered representatives fulfill their responsibilities to safeguard their clients from financial abuse. FINRA - Financial Exploitation of Senior and Vulnerable Adults is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA - Financial Exploitation of Senior and Vulnerable Adults in Renaissance. Any advice or commentary given in Renaissance about FINRA - Financial Exploitation of Senior and Vulnerable Adults is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA - Financial Exploitation of Senior and Vulnerable Adults at its discretion. This course is not included in Quest CE's Firm Element Program.
EL-ELC261
85
50
FINRA - Fixed Income Suitability: Retail Sales Practices
9413
Intermediate
This course reviews fixed income product characteristics and risk factors, and addresses the unique suitability considerations and regulatory subtleties associated with the sale of these securities. FINRA - Fixed Income Suitability: Retail Sales Practices is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA - Fixed Income Suitability: Retail Sales Practices in Renaissance. Any advice or commentary given in Renaissance about FINRA - Fixed Income Suitability: Retail Sales Practices is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA - Fixed Income Suitability: Retail Sales Practices at its discretion. This course is not included in Quest CE's Firm Element Program.
EL-ELC125
57
60
FINRA - Foreign Corrupt Practice Act: Avoiding Improper Payments
9194
Intermediate
In today's international business climate, securities professionals must understand and comply with regulations governing corruption and bribery in business practices around the globe. The course covers handling of indirect payments, interactions with intermediaries and government officials, recordkeeping and due diligence. FINRA - Foreign Corrupt Practice Act: Avoiding Improper Payments is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA - Foreign Corrupt Practice Act: Avoiding Improper Payments in Renaissance. Any advice or commentary given in Renaissance about FINRA - Foreign Corrupt Practice Act: Avoiding Improper Payments is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA - Foreign Corrupt Practice Act: Avoiding Improper Payments at its discretion. This course is not included in Quest CE's Firm Element Program.
EL-ELC110
55
30
FINRA - Insider Trading
8829
Overview
This course explains insider trading and the consequences of the intentional or inadvertent misuse of material, nonpublic information. Scenarios illustrate typical situations and emphasize the importance of maintaining confidentiality when in possession of material, nonpublic information. FINRA - Insider Trading is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA - Insider Trading in Renaissance. Any advice or commentary given in Renaissance about FINRA - Insider Trading is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA - Insider Trading at its discretion. This course is not included in Quest CE's Firm Element Program.
EL-ELC157
102
60
FINRA - Insider Trading: Understanding Your Responsibilities
8393
Intermediate
This course highlights specific rules and regulations that prohibit insider trading and provides registered representatives with examples of material, nonpublic information. Participants work through scenarios designed to help them identify possible or actual insider trading by their customers and others, and determine what reporting steps to take. FINRA - Insider Trading: Understanding Your Responsibilities is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA - Insider Trading: Understanding Your Responsibilities in Renaissance. Any advice or commentary given in Renaissance about FINRA - Insider Trading: Understanding Your Responsibilities is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA - Insider Trading: Understanding Your Responsibilities at its discretion. This course is not included in Quest CE's Firm Element Program.
EL-ELC248
55
30
FINRA - Institutional Trading Regulations
9401
Overview
This course addresses core regulations related to institutional trading, order handling and recordkeeping. It is designed to help institutional traders and other financial professionals reinforce their understanding of compliance obligations. FINRA - Institutional Trading Regulations is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA - Institutional Trading Regulations in Renaissance. Any advice or commentary given in Renaissance about FINRA - Institutional Trading Regulations is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA - Institutional Trading Regulations at its discretion. This course is not included in Quest CE's Firm Element Program.
EL-ELC225
84
40
FINRA - Municipal Bonds: Regulatory Considerations
9384
Intermediate
This course addresses some of the inherent risks associated with municipal bonds. It is designed to help you better understand risks, sales practice issues, rules and regulations related to these bonds. FINRA - Municipal Bonds: Regulatory Considerations is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA - Municipal Bonds: Regulatory Considerations in Renaissance. Any advice or commentary given in Renaissance about FINRA - Municipal Bonds: Regulatory Considerations is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA - Municipal Bonds: Regulatory Considerations at its discretion. This course is not included in Quest CE's Firm Element Program.
EL-ELC231
95
60
FINRA - Outside Business Activities
9195
Overview
This course covers regulations governing the treatment of outside business activities and reviews factors a registered representative should consider before participating in an outside business activity or conducting a private securities transaction. FINRA - Outside Business Activities is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA - Outside Business Activities in Renaissance. Any advice or commentary given in Renaissance about FINRA - Outside Business Activities is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA - Outside Business Activities at its discretion. This course is not included in Quest CE's Firm Element Program.
EL-ELC132
66
60
FINRA - Outside Business Activities for Independent Registered Representatives
8173
Intermediate
This course covers regulations governing the treatment of outside business activities and reviews factors an independent registered representative should consider before participating in an outside business activity or conducting a private securities transaction. Using real industry scenarios, this course illustrates how regulatory requirements for outside business activities apply to independent registered representatives. FINRA - Outside Business Activities for Independent Registered Representatives is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA - Outside Business Activities for Independent Registered Representatives in Renaissance. Any advice or commentary given in Renaissance about FINRA - Outside Business Activities for Independent Registered Representatives is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA - Outside Business Activities for Independent Registered Representatives at its discretion. This course is not included in Quest CE's Firm Element Program.
EL-ELC185
56
60
FINRA - Outside Business Activities for Wholesalers
9196
Overview
This course covers regulations governing the treatment of outside business activities and reviews factors registered wholesalers - who are required to know and follow FINRA rules as well as firm policies and procedures governing outside business activities - should consider before participating in an outside business activity or conducting a private securities transaction. FINRA - Outside Business Activities for Wholesalers is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA - Outside Business Activities for Wholesalers in Renaissance. Any advice or commentary given in Renaissance about FINRA - Outside Business Activities for Wholesalers is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA - Outside Business Activities for Wholesalers at its discretion.
This course is not included in Quest CE's Firm Element Program.
EL-ELC184
58
30
FINRA - Penny Stock Sales
9309
Intermediate
This course explains the penny stock rules and a registered representative's sales practice obligations when recommending penny stocks. Scenarios reinforce the importance of disclosure and customer-specific suitability determinations. FINRA - Penny Stock Sales is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA - Penny Stock Sales in Renaissance. Any advice or commentary given in Renaissance about FINRA - Penny Stock Sales is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA - Penny Stock Sales at its discretion. This course is not included in Quest CE's Firm Element Program.
EL-ELC160
121
75
FINRA - Privacy Considerations: Conducting Business with Institutional Clients
9351
Overview
This course addresses two distinct privacy considerations that institutional sales representatives may encounter in their day-to-day business activities: the importance of protecting private client information and the need to maintain confidentiality when suspicious activity is encountered. Activities and case studies provide opportunities to explore and reinforce how to apply core concepts. FINRA - Privacy Considerations: Conducting Business with Institutional Clients is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA - Privacy Considerations: Conducting Business with Institutional Clients in Renaissance. Any advice or commentary given in Renaissance about FINRA - Privacy Considerations: Conducting Business with Institutional Clients is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA - Privacy Considerations: Conducting Business with Institutional Clients at its discretion. This course is not included in Quest CE's Firm Element Program.
EL-ELC198
32
16
FINRA - Private Placements: Conducting Reasonable Investigations for Regulation D Offerings
8183
Overview
This course uses case studies adapted from FINRA enforcement actions to illustrate the duty to conduct reasonable investigations concerning Regulation D offerings. It covers the use of private placements as a source of capital and sales practice abuses that can occur with such securities. FINRA - Private Placements: Conducting Reasonable Investigations for Regulation D Offerings is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA - Private Placements: Conducting Reasonable Investigations for Regulation D Offerings in Renaissance. Any advice or commentary given in Renaissance about FINRA - Private Placements: Conducting Reasonable Investigations for Regulation D Offerings is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA - Private Placements: Conducting Reasonable Investigations for Regulation D Offerings at its discretion. This course is not included in Quest CE's Firm Element Program.
EL-ELC186
69
30
FINRA - Private Securities Transactions
9435
Intermediate
This course covers rules and regulations governing the treatment of private securities transactions, and reviews obligations for registered representatives. Scenarios are presented to help registered representatives identify private securities transactions and the appropriate actions to take before engaging in them. FINRA - Private Securities Transactions is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA - Private Securities Transactions in Renaissance. Any advice or commentary given in Renaissance about FINRA - Private Securities Transactions is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA - Private Securities Transactions at its discretion. This course is not included in Quest CE's Firm Element Program.
EL-ELC241
50
30
FINRA - Real Estate Investment Trusts (REITs): Regulatory Considerations
9426
Intermediate
This course is designed to help you better understand risks, sales practice issues, rules and regulations related to Real Estate Investment Trusts (REITs). It addresses some of the features and benefits of these products, as well as the regulatory implications that apply when selling them. FINRA - Real Estate Investment Trusts (REITs): Regulatory Considerations is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA - Real Estate Investment Trusts (REITs): Regulatory Considerations in Renaissance. Any advice or commentary given in Renaissance about FINRA - Real Estate Investment Trusts (REITs): Regulatory Considerations is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA - Real Estate Investment Trusts (REITs): Regulatory Considerations at its discretion. This course is not included in Quest CE's Firm Element Program.
EL-ELC234
80
60
NEW! - FINRA - Regulation Best Interest for Compliance RRs & Supervisors
14427
Intermediate
This course is intended to provide information on the Securities and Exchange Commission's (SEC's) Regulation BI (Best Interest) to registered representatives (RRs) and their supervisors while closely reviewing the text of the rule. While broker-dealers (BDs) who make securities recommendations to retail customers are required to adopt policies and procedures to comply with Reg BI, there are also direct compliance requirements for RRs, and this course will provide them and their supervisors with information about their respective obligations under the rule.
EL-ELC263
87
60
- describe the circumstances in which, and to whom, Reg BI applies
- identify the components of Reg BI
- discuss what an RR must do to maintain compliance with Reg BI
FINRA - Retail Branch Office Supervision: Compliance with Regulations
9054
Overview
Focusing on retail branch offices, this course reviews key supervisory obligations. Participants review topics on the supervision of sales practices and the consequences of failing to adequately supervise. FINRA - Retail Branch Office Supervision: Compliance With Regulations is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA - Retail Branch Office Supervision: Compliance With Regulations in Renaissance. Any advice or commentary given in Renaissance about FINRA - Retail Branch Office Supervision: Compliance With Regulations is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA - Retail Branch Office Supervision: Compliance With Regulations at its discretion.
This course is not included in Quest CE's Firm Element Program.
This course is intended for general securities principals (Series 24) and limited securities principals (Series 26) about their supervisory responsibilities over registered representatives working in retail branch offices. This course covers the regulatory and compliance obligations of retail branch office managers and supervisors. Scenarios illustrate typical situations involving hiring and supervising staff, monitoring sales activity, communications and delegation, and the consequences of not fulfilling supervisory obligations. FINRA - Retail Branch Office Supervision: Understanding Supervisory Responsibilities is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA - Retail Branch Office Supervision: Understanding Supervisory Responsibilities in Renaissance. Any advice or commentary given in Renaissance about FINRA - Retail Branch Office Supervision: Understanding Supervisory Responsibilities is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA - Retail Branch Office Supervision: Understanding Supervisory Responsibilities at its discretion.
This course is not included in Quest CE's Firm Element Program.
EL-ELC127
112
45
FINRA - Retail Supervision: Sales to Senior Investors
9338
Overview
This course is intended for general securities principals (Series 24) and limited securities principals (Series 26) about their supervisory responsibilities over registered working primarily with senior investors. This course highlights special issues that are common to many older investors and baby boomers approaching retirement. Topics address supervisory responsibilities with regard to the suitability of recommendations to older investors and of communications aimed at this investor segment. FINRA - Retail Supervision: Sales to Senior Investors is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA - Retail Supervision: Sales to Senior Investors in Renaissance. Any advice or commentary given in Renaissance about FINRA - Retail Supervision: Sales to Senior Investors is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA - Retail Supervision: Sales to Senior Investors at its discretion.
This course is not included in Quest CE's Firm Element Program.
EL-ELC139
92
50
FINRA - Securities Regulation Fundamentals
11263
Intermediate
This course is designed to increase registered representatives' familiarity with the structure of securities regulation in the U.S. Learning concepts and in-course activities highlight federal securities laws, rules and regulations, and regulators. Scenarios also highlight the distinctions between various investment professionals in the securities industry. FINRA - Securities Regulation Fundamentals is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA - Securities Regulation Fundamentals in Renaissance. Any advice or commentary given in Renaissance about FINRA - Securities Regulation Fundamentals is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA - Securities Regulation Fundamentals at its discretion. This course is not included in Quest CE's Firm Element Program.
This course consolidates the insights and research of leading academic, medical and legal professionals, psychologists and organizations on the topic of diminished decisional capacity. It provides information that registered representatives may find useful for identifying, working with and responding to senior investors or other customers with potential diminished - or diminishing - decisional capacity. FINRA - Senior Investor Issues: Diminished Decisional Capacity is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA - Senior Investor Issues: Diminished Decisional Capacity in Renaissance. Any advice or commentary given in Renaissance about FINRA - Senior Investor Issues: Diminished Decisional Capacity is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA - Senior Investor Issues: Diminished Decisional Capacity at its discretion. This course is not included in Quest CE's Firm Element Program.
This course reminds registered representatives that fulfilling their regulatory obligations can help to protect senior investors from financial exploitation. Participants are presented with scenarios to help them learn how to detect situations or "red flags" that might indicate a senior client is being financially exploited. FINRA - Senior Investor Issues: Financial Exploitation is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA - Senior Investor Issues: Financial Exploitation in Renaissance. Any advice or commentary given in Renaissance about FINRA - Senior Investor Issues: Financial Exploitation is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA - Senior Investor Issues: Financial Exploitation at its discretion. This course is not included in Quest CE's Firm Element Program.
EL-ELC247
84
30
FINRA - Supervision: FINRA Rules 3110, 3120, 3150, and 3170
9198
Overview
This course demonstrates the key requirements of FINRA's supervision rules, and the specific obligations of firms and associated persons under those rules. FINRA - Supervision: FINRA Rules 3110, 3120, 3150, and 3170 is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA - Supervision: FINRA Rules 3110, 3120, 3150, and 3170 in Renaissance. Any advice or commentary given in Renaissance about FINRA - Supervision: FINRA Rules 3110, 3120, 3150, and 3170 is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA - Supervision: FINRA Rules 3110, 3120, 3150, and 3170 at its discretion. This course is not included in Quest CE's Firm Element Program.
EL-ELC236
94
60
FINRA - Supervision: Obligations for Broker-Dealers with Institutional Customers
9358
Overview
This course is designed for registered representatives, their supervisors, and sales support staff that work with institutional clients. It is also appropriate for other financial service industry professionals interested in a refresher of regulatory concerns regarding suitability for institutional customers. This course covers supervisors' regulatory and compliance obligations at firms servicing institutional clients. Scenarios highlight supervisors' responsibilities regarding various business areas, including trading, institutional sales, proprietary trading, and investment banking. Participants review challenges related to hiring and supervising staff, delegation, and failure to document, and consequences of failing to perform, supervisory duties. FINRA - Supervision: Obligations for Broker-Dealers with Institutional Customers is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA - Supervision: Obligations for Broker-Dealers with Institutional Customers in Renaissance. Any advice or commentary given in Renaissance about FINRA - Supervision: Obligations for Broker-Dealers with Institutional Customers is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA - Supervision: Obligations for Broker-Dealers with Institutional Customers at its discretion. This course is not included in Quest CE's Firm Element Program.
EL-ELC116
105
55
FINRA - Supervision: Obligations When Monitoring Sales and Trading
9315
Overview
This course uses case studies adapted from actual disciplinary actions to remind supervisors of their obligations to monitor sales and trading. It helps supervisors better understand the potential consequences of failing to carry out their supervisory responsibilities. FINRA - Supervision: Obligations When Monitoring Sales and Trading is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA - Supervision: Obligations When Monitoring Sales and Trading in Renaissance. Any advice or commentary given in Renaissance about FINRA - Supervision: Obligations When Monitoring Sales and Trading is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA - Supervision: Obligations When Monitoring Sales and Trading at its discretion.
This course is not included in Quest CE's Firm Element Program.
EL-ELC202
48
25
FINRA - Understanding Alternative Mutual Funds
8832
Intermediate
This course explains the unique characteristics and associated risks of alternative mutual funds. Participants are presented with scenarios designed to emphasize the complexity of alternative mutual funds and the importance of performing a thorough suitability analysis when recommending these products. FINRA - Understanding Alternative Mutual Funds is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA - Understanding Alternative Mutual Funds in Renaissance. Any advice or commentary given in Renaissance about FINRA - Understanding Alternative Mutual Funds is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA - Understanding Alternative Mutual Funds at its discretion. This course is not included in Quest CE's Firm Element Program.
This course explains commodity futures-linked securities and the factors that can affect the performance of these products. FINRA - Understanding Commodity Futures - Linked Securities is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA - Understanding Commodity Futures-Linked Securities in Renaissance. Any advice or commentary given in Renaissance about FINRA - Understanding Commodity Futures-Linked Securities is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA - Understanding Commodity Futures-Linked Securities at its discretion. This course is not included in Quest CE's Firm Element Program.
EL-ELC181
51
30
FINRA - Understanding Retail Structured Products
9392
Intermediate
This course explains the basics of retail structured products as an investment class. It also describes the features of some of their more common forms and related risks associated with them. FINRA - Understanding Retail Structured Products is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA - Understanding Retail Structured Products in Renaissance. Any advice or commentary given in Renaissance about FINRA - Understanding Retail Structured Products is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA - Understanding Retail Structured Products at its discretion. This course is not included in Quest CE's Firm Element Program.
EL-ELC174
48
35
FINRA - Understanding Social Media for Retail Registered Representatives
9199
Overview
This course helps registered representatives understand the requirements that apply when using social media for business communications with the public. It also shows how regulatory standards apply to the use of social media. FINRA - Understanding Social Media for Retail Registered Representatives is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA - Understanding Social Media for Retail Registered Representatives in Renaissance. Any advice or commentary given in Renaissance about FINRA - Understanding Social Media for Retail Registered Representatives is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA - Understanding Social Media for Retail Registered Representatives at its discretion. This course is not included in Quest CE's Firm Element Program.
This course is designed to help you better understand risks, sales practice issues, rules and regulations related to variable annuities. It addresses some of the features and benefits of these products as well as the regulatory implications that apply when selling them. FINRA - Variable Annuities: Regulatory Implications is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA - Variable Annuities: Regulatory Implications in Renaissance. Any advice or commentary given in Renaissance about FINRA - Variable Annuities: Regulatory Implications is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA - Variable Annuities: Regulatory Implications at its discretion. This course is not included in Quest CE's Firm Element Program.
EL-ELC232
55
30
FINRA - Variable Annuities: Suitability and Disclosure for New Purchases
9057
Overview
This course explains variable annuities and the unique suitability factors that must be considered before recommending this complex investment product. Scenarios lead participants through suitability determinations based on a customer's financial situation and investment objectives. FINRA - Variable Annuities: Suitability and Disclosure for New Purchases is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA - Variable Annuities: Suitability and Disclosure for New Purchases in Renaissance. Any advice or commentary given in Renaissance about FINRA - Variable Annuities: Suitability and Disclosure for New Purchases is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA - Variable Annuities: Suitability and Disclosure for New Purchases at its discretion. This course is not included in Quest CE's Firm Element Program.
EL-ELC113
100
60
FINRA - Variable Annuities: Suitability Determination for Exchanges
9480
Intermediate
This course is designed to help registered representatives understand their suitability obligations when recommending variable annuity exchanges to their clients. Scenarios emphasize suitability determinations disclosure and the consequences of making unsuitable exchange recommendations. FINRA - Variable Annuities: Suitability Determination for Exchanges is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA - Variable Annuities: Suitability Determination for Exchanges in Renaissance. Any advice or commentary given in Renaissance about FINRA - Variable Annuities: Suitability Determination for Exchanges is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA - Variable Annuities: Suitability Determination for Exchanges at its discretion. This course is not included in Quest CE's Firm Element Program.
EL-ELC255
72
30
FINRA AML - Bank Affiliated Broker-Dealers: Understanding Your Role - Vol. 1
9422
Intermediate
FINRA's anti-money laundering (AML) e-learning courses cover concepts and strategies for detecting and preventing money-laundering activity. Each course presents unique scenarios that illustrate typical money-laundering situations. Scenarios in this course will help registered representatives at bank-affiliated broker-dealers identify unusual activity in customer accounts that could indicate potential money laundering, and identify what steps to take when such suspicion arises. FINRA AML - Bank Affiliated Broker-Dealers: Understanding Your Role - Vol. 1 is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA AML - Bank Affiliated Broker-Dealers: Understanding Your Role - Vol. 1 in Renaissance. Any advice or commentary given in Renaissance about FINRA AML - Bank Affiliated Broker-Dealers: Understanding Your Role - Vol. 1 is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA AML - Bank Affiliated Broker-Dealers: Understanding Your Role - Vol. 1 at its discretion. This course is not included in Quest CE's Firm Element Program.
EL-ELC233
79
30
FINRA AML - Broker-Dealers Conducting Business with Foreign Customers: Understanding Your Role - Vol. 1
9395
Intermediate
FINRA's anti-money laundering (AML) e-learning courses cover concepts and strategies for detecting and preventing money-laundering activity. Each course presents unique scenarios that illustrate typical money-laundering situations. Scenarios in this course will help registered representatives who conduct business with foreign customers identify unusual activity in their accounts that could indicate potential money laundering, and identify what steps to take when such suspicion arises. FINRA AML - Broker-Dealers Conductiing Business with Foreign Customers: Understanding Your Role - Vol. 1 is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA AML - Broker-Dealers Conducting Business with Foreign Customers: Understanding Your Role - Vol. 1 in Renaissance. Any advice or commentary given in Renaissance about FINRA AML - Broker-Dealers Conducting Business with Foreign Customers: Understanding Your Role - Vol. 1 is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA AML - Broker-Dealers Conducting Business with Foreign Customers: Understanding Your Role - Vol. 1 at its discretion. This course is not included in Quest CE's Firm Element Program.
EL-ELC235
62
30
FINRA AML - Compliance: Suspicious Activity Surveillance - Part 1
8185
Overview
This course is the first course in a two-part anti-money laundering series for compliance staff. The activities in this course aim to help compliance professionals identify the types of red flags that could trigger a SAR filing, and illustrate ways to examine and respond to red flags. FINRA AML - Compliance: Suspicious Activity Surveillance - Part 1 is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA AML - Compliance: Suspicious Activity Surveillance - Part 1 in Renaissance. Any advice or commentary given in Renaissance about FINRA AML - Compliance: Suspicious Activity Surveillance - Part 1 is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA AML - Compliance: Suspicious Activity Surveillance - Part 1 at its discretion. This course is not included in Quest CE's Firm Element Program.
EL-ELC195
64
29
FINRA AML - Compliance: Suspicious Activity Surveillance - Part 2
8197
Overview
This course is the second in a two-part anti-money laundering series for compliance staff. The case studies in this course demonstrate monitoring techniques to prepare broker-dealer compliance staff to identify, investigate and report suspicious activity in customer accounts. It also includes practice on how to write an effective SAR narrative. FINRA AML - Compliance: Suspicious Activity Surveillance - Part 2 is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA AML - Compliance: Suspicious Activity Surveillance - Part 2 in Renaissance. Any advice or commentary given in Renaissance about FINRA AML - Compliance: Suspicious Activity Surveillance - Part 2 is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA AML - Compliance: Suspicious Activity Surveillance - Part 2 at its discretion. This course is not included in Quest CE's Firm Element Program.
EL-ELC196
61
24
FINRA AML - Independents: More Key Issues
8190
Overview
FINRA's anti-money laundering (AML) e-learning courses cover concepts and strategies for detecting and preventing money-laundering activity. Each course presents unique scenarios that illustrate typical money-laundering situations. The scenarios in this course aim to help registered representatives identify unusual activity in customer accounts that could indicate potential money laundering, and identify what steps to take when such suspicion arises. FINRA AML - Independents: More Key Issues is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA AML - Independents: More Key Issues in Renaissance. Any advice or commentary given in Renaissance about FINRA AML - Independents: More Key Issues is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA AML - Independents: More Key Issues at its discretion. This course is not included in Quest CE's Firm Element Program.
EL-ELC221
71
30
FINRA AML - Independents: Understanding Your Compliance Obligations
8186
Overview
FINRA's anti-money laundering (AML) e-learning courses cover concepts and strategies for detecting and preventing money-laundering activity. Each course presents unique scenarios that illustrate typical money-laundering situations. In this course, scenarios highlight risks independent firms and registered representatives face when handling unusual account activity and expediting the account-opening process. FINRA AML - Independents: Understanding Your Compliance Obligations is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA AML - Independents: Understanding Your Compliance Obligations in Renaissance. Any advice or commentary given in Renaissance about FINRA AML - Independents: Understanding Your Compliance Obligations is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA AML - Independents: Understanding Your Compliance Obligations at its discretion. This course is not included in Quest CE's Firm Element Program.
EL-ELC206
52
30
FINRA AML - Institutional: Customer Identification Procedures
9200
Overview
Scenarios illustrate the customer identification process and address typical situations involving institutional customers. FINRA AML - Institutional: Customer Identification Procedures is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA AML - Institutional: Customer Identification Procedures in Renaissance. Any advice or commentary given in Renaissance about FINRA AML - Institutional: Customer Identification Procedures is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA AML - Institutional: Customer Identification Procedures at its discretion.
This course is not included in Quest CE's Firm Element Program.
EL-ELC152
81
35
FINRA AML - Institutional: Escalating Concerns of Unusual Activity and Responsibilities for Due Diligence
9336
Overview
Scenarios demonstrate the need to obtain proper customer identification for institutional accounts and emphasize the importance of due diligence. FINRA AML - Institutional: Escalating Concerns of Unusual Activity and Responsibilities for Due Diligence is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA AML - Institutional: Escalating Concerns of Unusual Activity and Responsibilities for Due Diligence in Renaissance. Any advice or commentary given in Renaissance about FINRA AML - Institutional: Escalating Concerns of Unusual Activity and Responsibilities for Due Diligence is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA AML - Institutional: Escalating Concerns of Unusual Activity and Responsibilities for Due Diligence at its discretion. This course is not included in Quest CE's Firm Element Program.
EL-ELC176
67
29
FINRA AML - Institutional: Exploring New Risks
9394
Overview
This course is designed for institutional registered representatives, supervisors and institutional sales representatives. This course uses scenarios to cover situations involving a suspect sub-account, including account opening and subsequent trading and funding activity, and due diligence with a high-risk client. FINRA AML - Institutional: Exploring New Risks is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA AML - Institutional: Exploring New Risks in Renaissance. Any advice or commentary given in Renaissance about FINRA AML - Institutional: Exploring New Risks is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA AML - Institutional: Exploring New Risks at its discretion. This course is not included in Quest CE's Firm Element Program.
EL-ELC135
76
30
FINRA AML - Institutional: Identification and Reporting Issues
9335
Overview
This course is designed for institutional registered representatives, supervisors and institutional sales representatives. This course employs scenarios to demonstrate situations involving trading activity that is inconsistent with investment objectives, extra due diligence requirements for an acquisition and new account opening with a politically exposed person. FINRA AML - Institutional: Identification and Reporting Issues is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA AML - Institutional: Identification and Reporting Issues in Renaissance. Any advice or commentary given in Renaissance about FINRA AML - Institutional: Identification and Reporting Issues is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA AML - Institutional: Identification and Reporting Issues at its discretion.
This course is not included in Quest CE's Firm Element Program.
EL-ELC121
97
45
FINRA AML - Institutional: More Key Issues
8194
Overview
The scenarios in this course aim to help institutional registered representatives identify unusual activity in client accounts that could indicate potential money laundering, and identify what steps to take when such suspicion arises. FINRA AML - Institutional: More Key Issues is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA AML - Institutional: More Key Issues in Renaissance. Any advice or commentary given in Renaissance about FINRA AML - Institutional: More Key Issues is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA AML - Institutional: More Key Issues at its discretion. This course is not included in Quest CE's Firm Element Program.
EL-ELC222
68
40
FINRA AML - Institutional: Recognizing Red Flags
9056
Overview
This course is designed for institutional registered representatives, supervisors and institutional sales representatives. This course presents scenarios that address escalation of red flags discovered during the account opening and account monitoring processes, and emphasize the importance of due diligence on any new account, including new accounts with existing customers. FINRA AML - Institutional: Recognizing Red Flags is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA AML - Institutional: Recognizing Red Flags in Renaissance. Any advice or commentary given in Renaissance about FINRA AML - Institutional: Recognizing Red Flags is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA AML - Institutional: Recognizing Red Flags at its discretion. This course is not included in Quest CE's Firm Element Program.
EL-ELC144
111
36
FINRA AML - Institutional: Understanding Your Compliance Obligations
9055
Overview
In this course, scenarios highlight risks institutional firms and registered representatives face when handling unusual account activity and expediting the account opening process. FINRA AML - Institutional: Understanding Your Compliance Obligations is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA AML - Institutional: Understanding Your Compliance Obligations in Renaissance. Any advice or commentary given in Renaissance about FINRA AML - Institutional: Understanding Your Compliance Obligations is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA AML - Institutional: Understanding Your Compliance Obligations at its discretion. This course is not included in Quest CE's Firm Element Program.
EL-ELC207
57
30
FINRA AML - Institutional: Understanding Your Role - Vol. 1
9363
Overview
In this course, scenarios help institutional registered representatives identify unusual activity in customer accounts that could indicate potential money laundering, and identify what steps to take when such suspicion arises. FINRA AML - Institutional: Understanding Your Role Vol. 1 is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA AML - Institutional: Understanding Your Role Vol. 1 in Renaissance. Any advice or commentary given in Renaissance about FINRA AML - Institutional: Understanding Your Role Vol. 1 is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA AML - Institutional: Understanding Your Role Vol. 1 at its discretion. This course is not included in Quest CE's Firm Element Program.
EL-ELC230
82
30
FINRA AML - Institutional: Your Role in Detecting and Deterring Money Laundering Activity
8189
Overview
Activities in this course demonstrate why prompt escalation of suspicious activities is essential. Your firm does not need to confirm that a crime has been committed before it files a report, and you do not need evidence that a transaction involves illegal activity before you escalate the situation. FINRA AML - Institutional: Your Role in Detecting and Deterring Money-Laundering Activity is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA AML - Institutional: Your Role in Detecting and Deterring Money-Laundering Activity in Renaissance. Any advice or commentary given in Renaissance about FINRA AML - Institutional: Your Role in Detecting and Deterring Money-Laundering Activity is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA AML - Institutional: Your Role in Detecting and Deterring Money-Laundering Activity at its discretion.
This course is not included in Quest CE's Firm Element Program.
EL-ELC192
47
18
FINRA AML - Operations: Customer Identification Procedures
9203
Overview
Scenarios focus on the responsibility of all employees to escalate suspicious activity and possible red flags, and illustrate the value of account monitoring by operations staff. FINRA AML - Operations: Customer Identification Procedures is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA AML - Operations: Customer Identification Procedures in Renaissance. Any advice or commentary given in Renaissance about FINRA AML - Operations: Customer Identification Procedures is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA AML - Operations: Customer Identification Procedures at its discretion.
This course is not included in Quest CE's Firm Element Program.
EL-ELC153
74
30
FINRA AML - Operations: Escalating Concerns of Unusual Activity and Responsibilities for Due Diligence
9419
Overview
Scenarios demonstrate how an operations professional can recognize methods money launderers may use and when to escalate concerns related to unusual account activity. FINRA AML - Operations: Escalating Concerns of Unusual Activity and Responsibilities for Due Diligence is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA AML - Operations: Escalating Concerns of Unusual Activity and Responsibilities for Due Diligence in Renaissance. Any advice or commentary given in Renaissance about FINRA AML - Operations: Escalating Concerns of Unusual Activity and Responsibilities for Due Diligence is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA AML - Operations: Escalating Concerns of Unusual Activity and Responsibilities for Due Diligence at its discretion. This course is not included in Quest CE's Firm Element Program.
EL-ELC177
72
32
FINRA AML - Operations: More Key Issues
9397
Overview
The scenarios in this course aim to help operations professionals identify unusual activity in customer accounts that could indicate potential money laundering, and identify what steps to take when such suspicion arises. FINRA AML - Operations: More Key Issues is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA AML - Operations: More Key Issues in Renaissance. Any advice or commentary given in Renaissance about FINRA AML - Operations: More Key Issues is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA AML - Operations: More Key Issues at its discretion. This course is not included in Quest CE's Firm Element Program
EL-ELC224
65
30
FINRA AML - Operations: Recognizing Red Flags
9201
Overview
This course is designed for institutional operations representatives, supervisors and institutional sales representatives. Scenarios presented in this course focuses on the responsibility that all firm employees have to escalate suspicious activity or possible red flags, and emphasizes the value of account monitoring by operations staff. FINRA AML - Operations: Recognizing Red Flags is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA AML - Operations: Recognizing Red Flags in Renaissance. Any advice or commentary given in Renaissance about FINRA AML - Operations: Recognizing Red Flags is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA AML - Operations: Recognizing Red Flags at its discretion.
This course is not included in Quest CE's Firm Element Program.
EL-ELC150
93
41
FINRA AML - Operations: Understanding Your Compliance Obligations
9364
Overview
In this course, scenarios highlight risks operations staff face when handling unusual account activity and expediting the account-opening process. FINRA AML - Operations: Understanding Your Compliance Obligations is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA AML - Operations: Understanding Your Compliance Obligations in Renaissance. Any advice or commentary given in Renaissance about FINRA AML - Operations: Understanding Your Compliance Obligations is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA AML - Operations: Understanding Your Compliance Obligations at its discretion. This course is not included in Quest CE's Firm Element Program.
EL-ELC208
58
35
FINRA AML - Operations: Understanding Your Role - Vol. 1
9420
Overview
In this course, operations professionals work through scenarios illustrating the importance of staying alert and reporting suspicious activity, including predicate offenses to money laundering such as identity theft and market manipulation. FINRA AML - Operations: Understanding Your Role - Vol. 1 is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA AML - Operations: Understanding Your Role - Vol. 1 in Renaissance. Any advice or commentary given in Renaissance about FINRA AML - Operations: Understanding Your Role - Vol. 1 is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA AML - Operations: Understanding Your Role - Vol. 1 at its discretion. This course is not included in Quest CE's Firm Element Program.
EL-ELC245
62
50
FINRA AML - Operations: Your Role in Detecting and Deterring Money-Laundering Activity
9365
Overview
Scenarios demonstrate the role of operations professionals in detecting and reporting suspicious activity. Firms are required to report a broad range of suspicious activities even if they do not have actual knowledge that a transaction involves criminal activity. FINRA AML - Operations: Your Role in Detecting and Deterring Money-Laundering Activity is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA AML - Operations: Your Role in Detecting and Deterring Money-Laundering Activity in Renaissance. Any advice or commentary given in Renaissance about FINRA AML - Operations: Your Role in Detecting and Deterring Money-Laundering Activity is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA AML - Operations: Your Role in Detecting and Deterring Money-Laundering Activity at its discretion. This course is not included in Quest CE's Firm Element Program.
EL-ELC193
63
28
FINRA AML - Retail: Customer Due Diligence
9361
Intermediate
FINRA's anti-money laundering (AML) e-learning courses cover concepts and strategies for detecting and preventing money-laundering activity. Each course presents unique scenarios that illustrate typical money-laundering situations. Scenarios review the importance of 'knowing your customer,' with situations involving a newly referred client and a new account for the real estate LLC of a long-term client. FINRA AML - Retail: Customer Due Diligence is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA AML - Retail: Customer Due Diligence in Renaissance. Any advice or commentary given in Renaissance about FINRA AML - Retail: Customer Due Diligence is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA AML - Retail: Customer Due Diligence at its discretion. This course is not included in Quest CE's Firm Element Program.
EL-ELC120
85
60
FINRA AML - Retail: Customer Identification Procedures
9418
Intermediate
Scenarios illustrate the customer identification process and address typical situations involving institutional customers. FINRA AML - Institutional: Customer Identification Procedures is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA AML - Institutional: Customer Identification Procedures in Renaissance. Any advice or commentary given in Renaissance about FINRA AML - Institutional: Customer Identification Procedures is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA AML - Institutional: Customer Identification Procedures at its discretion. This course is not included in Quest CE's Firm Element Program.
EL-ELC154
111
45
FINRA AML - Retail: More Key Issues
9359
Intermediate
FINRA's anti-money laundering (AML) e-learning courses cover concepts and strategies for detecting and preventing money-laundering activity. Each course presents unique scenarios that illustrate typical money-laundering situations. The scenarios in this course aim to help registered representatives identify unusual activity in customer accounts that could indicate potential money laundering, and identify what steps to take when such suspicion arises. FINRA AML - Retail: More Key Issues is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA AML - Retail: More Key Issues in Renaissance. Any advice or commentary given in Renaissance about FINRA AML - Retail: More Key Issues is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA AML - Retail: More Key Issues at its discretion. This course is not included in Quest CE's Firm Element Program.
EL-ELC220
71
30
FINRA AML - Retail: Understanding Your Compliance Obligations
9411
Intermediate
FINRA's anti-money laundering (AML) e-learning courses cover concepts and strategies for detecting and preventing money-laundering activity. Each course presents unique scenarios that illustrate typical money-laundering situations. In this course, scenarios highlight risks retail firms and registered representatives face when handling unusual account activity and expediting the account-opening process. FINRA AML - Retail: Understanding Your Compliance Obligations is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA AML - Retail: Understanding Your Compliance Obligations in Renaissance. Any advice or commentary given in Renaissance about FINRA AML - Retail: Understanding Your Compliance Obligations is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA AML - Retail: Understanding Your Compliance Obligations at its discretion. This course is not included in Quest CE's Firm Element Program.
EL-ELC205
50
30
FINRA AML - Retail: Understanding Your Role - Vol. 3
9437
Intermediate
FINRA's anti-money laundering (AML) e-learning courses cover concepts and strategies for detecting and preventing money-laundering activity. Each course presents unique scenarios that illustrate typical money-laundering situations. In this course, registered representatives work through scenarios illustrating the importance of staying alert and reporting suspicious activity, including predicate offenses to money laundering such as identity theft, insider trading and market manipulation. FINRA AML - Retail: Understanding Your Role - Vol. 3 is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA AML - Retail: Understanding Your Role - Vol. 3 in Renaissance. Any advice or commentary given in Renaissance about FINRA AML - Retail: Understanding Your Role - Vol. 3 is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA AML - Retail: Understanding Your Role - Vol. 3 at its discretion. This course is not included in Quest CE's Firm Element Program.
EL-ELC243
66
30
FINRA AML - Retail: Understanding Your Role - Vol. 4
8762
Intermediate
FINRA's anti-money laundering (AML) e-learning courses cover concepts and strategies for detecting and preventing money laundering activity. Each course presents unique scenarios that illustrate typical money laundering situations. In this course, registered representatives work through scenarios they may encounter when working with customers, and also demonstrate how to detect and promptly report suspicious activity in customer accounts. FINRA AML - Retail: Understanding Your Role - Vol. 4 is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA AML - Retail: Understanding Your Role - Vol. 4 in Renaissance. Any advice or commentary given in Renaissance about FINRA AML - Retail: Understanding Your Role - Vol. 4 is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA AML - Retail: Understanding Your Role - Vol. 4 at its discretion. This course is not included in Quest CE's Firm Element Program.
EL-ELC250
62
30
FINRA AML - Retail: Your Role in Detecting and Deterring Money-Laundering Activity
9396
Intermediate
FINRA's anti-money laundering (AML) e-learning courses cover concepts and strategies for detecting and preventing money-laundering activity. Each course presents unique scenarios that illustrate typical money-laundering situations. Scenarios demonstrate the need to detect and report suspicious activity. Firms are required to report a broad range of suspicious activities even if they do not have actual knowledge that a transaction involves criminal activity. FINRA AML - Retail: Your Role in Detecting and Deterring Money-Laundering Activity is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA AML - Retail: Your Role in Detecting and Deterring Money-Laundering Activity in Renaissance. Any advice or commentary given in Renaissance about FINRA AML - Retail: Your Role in Detecting and Deterring Money-Laundering Activity is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA AML - Retail: Your Role in Detecting and Deterring Money-Laundering Activity at its discretion. This course is not included in Quest CE's Firm Element Program.
EL-ELC191
67
60
FINRA AML - Supervisors: Understanding Your Role
9438
Intermediate
FINRA's anti-money laundering (AML) e-learning courses cover concepts and strategies for detecting and preventing money-laundering activity. Each course presents unique scenarios that illustrate typical money-laundering situations. In this course, supervisors are presented with scenarios that help demonstrate the critical role they play in recognizing, monitoring and escalating situations that may indicate money-laundering activity. FINRA AML - Supervisors: Understanding Your Role is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA AML - Supervisors: Understanding Your Role in Renaissance. Any advice or commentary given in Renaissance about FINRA AML - Supervisors: Understanding Your Role is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA AML - Supervisors: Understanding Your Role at its discretion. This course is not included in Quest CE's Firm Element Program.
EL-ELC240
76
30
FINRA AML - Supervisors: Understanding Your Role - Vol. 2
9083
Overview
This course presents supervisors with scenarios that highlight suspicious activity registered representatives may encounter when working with customers, and also demonstrates how supervisors can detect and promptly report suspicious activity in customer accounts. FINRA AML - Supervisors: Understanding Your Role - Vol. 2 is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA AML - Supervisors: Understanding Your Role - Vol. 2 in Renaissance. Any advice or commentary given in Renaissance about FINRA AML - Supervisors: Understanding Your Role - Vol. 2 is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA AML - Supervisors: Understanding Your Role - Vol. 2 at its discretion. This course is not included in Quest CE's Firm Element Program.
EL-ELC253
67
60
FINRA AML - Wholesalers: Understanding Your Compliance Obligations
9205
Overview
In this course, scenarios highlight risks wholesale firms and registered representatives face when handling unusual account activity and expediting the account opening process. FINRA AML - Wholesalers: Understanding Your Compliance Obligations is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA AML - Wholesalers: Understanding Your Compliance Obligations in Renaissance. Any advice or commentary given in Renaissance about FINRA AML - Wholesalers: Understanding Your Compliance Obligations is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA AML - Wholesalers: Understanding Your Compliance Obligations at its discretion.
This course is not included in Quest CE's Firm Element Program.
EL-ELC209
35
15
FINRA AML - Wholesalers: Your Role in Detecting and Deterring Money-Laundering Activity
9206
Overview
Brief scenarios demonstrate the need to detect and report suspicious activity. If you see something, say something - even if you don't work directly with individual customers. Firms are required to report a broad range of suspicious activities even if they do not have actual knowledge that a transaction involves criminal activity. FINRA AML - Wholesalers: Your Role in Detecting and Deterring Money-Laundering Activity] is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA AML - Wholesalers: Your Role in Detecting and Deterring Money-Laundering Activity in Renaissance. Any advice or commentary given in Renaissance about FINRA AML - Wholesalers: Your Role in Detecting and Deterring Money-Laundering Activity is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA AML - Wholesalers: Your Role in Detecting and Deterring Money-Laundering Activity at its discretion. This course is not included in Quest CE's Firm Element Program.
