This course aims to help learners understand registered persons' compliance obligations through scenarios based on real enforcement actions. The following obligations are highlighted in the 2022 edition: outside business activities; gifts and gratuities; fair prices and commissions; borrowing from customers; interacting with FINRA staff; and speaking up.
316773
92
60
- outside business activities;
- gifts and gratuities;
- fair prices and commissions;
- borrowing from customers;
- interacting with FINRA staff; and
- speaking up.
NEW! - FINRA - 2023 Annual AML Review
22140
Overview
0.5
This course reviews the key anti-money laundering (AML) program rules and requirements. It also focuses on current AML trends and recognizing a wide range of red flags associated with suspicious activity.
325916
93
60
- AML fundamentals
- Identifying fraud and cyber schemes
- Money mule schemes
- Pump-and-dump schemes
- Sanctions, anti-bribery and anti-corruption measures
- The consequences of failing to identify red flags of suspicious activity
FINRA - 2023 Annual Compliance Review
21887
Overview
0.5
This course aims to help learners understand registered persons' compliance obligations through scenarios based on real enforcement actions. The following obligations are highlighted in the 2023 edition: filing timely and accurate information; maintaining books and records; making business-related statements; avoiding unauthorized trading; interacting with FINRA staff; and speaking up.
318200
71
30
FINRA - 2023 Annual Industry Priorities Review
21940
Overview
0.5
This course highlights select industry priorities and familiarizes learners with resources and methods for staying current on their own. The following priorities are highlighted in the 2023 edition: trusted contact person; regulatory events reporting; private placements; communications with the public; best execution; market access; segregation of assets and customer protection; and portfolio margin and intraday trading.
316773
54
30
NEW! - FINRA - 2024 Annual AML Review
22270
Overview
0.5
This course reviews basic anti-money laundering (AML) program requirements and established practices for creating and maintaining a robust AML program, with a focus on detecting and reporting suspicious activity. It also focuses on current industry trends and the consequences of failing to identify red flags of suspicious activity.
326180
65
30
- AML fundamentals
- Identifying and reporting suspicious activity
- Fraud and cyber schemes
- ACATS fraud
- FinCEN�€™s Customer Due Diligence Requirements (the CDD Rule)
- Sanctions, anti-bribery and anti-corruption
NEW! - FINRA - 2025 Annual AML Review
24234
Overview
0.5
This course reviews basic anti-money laundering (AML) program requirements and established practices for creating and maintaining a robust AML program, with a focus on detecting and reporting suspicious activity. It also focuses on current industry trends and the consequences of failing to identify red flags of suspicious activity. Content Includes: AML fundamentals, Identifying and reporting suspicious activity, Verification of customer identity, Identifying AML red flags at account opening, Crypto Confidence Scams, Sanctions, anti-bribery and anti-corruption
335346
91
60
NEW! - FINRA - 2025 Annual Compliance Review
24168
Overview
0.5
This course will explore common compliance obligations - and areas of potential risk - as highlighted by actual enforcement actions by FINRA from the past year. Using these events, the course will explore registered persons' obligations to their broker-dealers, their customers and to FINRA, as well as the relevant rules and regulations that underpin them.
335350
64
30
nt Includes:
- Securities Transactions Away From BD
- Conflicts of Interest
- Opening Accounts & Rule 2090
- Reg BI
- Obligations to FINRA
NEW! - FINRA - 2025 Annual Industry Priorities Review
24155
Overview
0.5
This course will provide learners with updates on select industry priorities, including FINRA findings and effective practices, resources to stay abreast of industry priorities and methods for obtaining these resources.
335734
34
30
nt Includes:
- Cybersecurity and new account opening identify validation
- Crypto asset developments
- Books and records
- Trusted contact persons
- Resources and methods for staying current
FINRA - 529 Savings Plans and ABLE Programs
10196
Intermediate
1
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.
254420
102
30
NEW! - FINRA - AML Compliance: Activity Monitoring
24154
Overview
0.5
This course focuses on the requirements of the Bank Secrecy Act (BSA) and common red flags of money laundering that may be present in customer interactions and transaction reviews.
335341
50
30
nt Includes:
- Customer Due Diligence
- Suspicious Activity Reports
- Account Opening Flags
- Transaction Reviews
- Suspicious Transactions and Money Movements
- Low-Priced Securities
- Investigations
NEW! - FINRA - AML Compliance: Suspicious Activity Reporting
24112
Overview
0.5
This course examines the key elements of completing and filing suspicious activity reports (SARs). It also covers procedures surrounding SAR filings and how firms are expected to follow up them.
333728
56
60
- When to File a SAR
- Recordkeeping
- Confidentiality
- SAR Filing Procedures
- Writing a SAR Narrative
- Amending SARs and Continuing Activity
NEW! - FINRA - Analyzing Investor Growth
24248
Overview
0.5
This course provides learners an opportunity to get a better understanding of investors who entered the investment market during the pandemic. Learner's will discover this segment of investor's motives, investment knowledge and preferred engagement styles. Content Includes: Comparison of Experienced Investor v. New Investors, Investor Motives for Opening Accounts, Investor Goals for Entering the Market, Investor Knowledge, Investor Engagement
335733
47
30
NEW! - FINRA - Anti-Money Laundering Overview
23394
Overview
1.5
This course highlights FINRA's Anti-Money Laundering (AML) Compliance Program (FINRA Rule 3310) and the Bank Secrecy Act (BSA) and its implementing regulations. Required procedures are covered, and learners are given the choice between scenarios targeted at retail representatives, operations professionals and institutional sales.
328895
151
60
en AML compliance programs
Customer identification program (CIP) and customer due diligence
Beneficial ownership information
Verifying customer identification information
Red flags of suspicious activity
Reporting suspicious activity
FINRA - Books and Records
8555
Overview
1
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.
237211
57
60
FINRA - Books and Records for Operations Professionals
9646
Intermediate
0.5
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.
250701
73
60
FINRA - Business Gifts: Registered Representative Responsibilities
9348
Intermediate
0.5
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.
237229
43
30
FINRA - Business Gifts: Understanding Compliance Responsibilities
9349
Intermediate
0.5
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.
237230
44
30
FINRA - Communications with the Public: Compliance Issues for Independent RRs
8557
Overview
0.5
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.
237213
61
30
FINRA - Communications with the Public: What Retail Staff Need to Know
8588
Overview
0.5
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.
237214
75
30
FINRA - Conflicts of Interest
8558
Overview
0.5
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.
237215
48
30
FINRA - Corporate and Governments Bonds: Regulatory Considerations
9344
Intermediate
1
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.
237217
97
60
FINRA - Customer Information Protection for Registered Representatives
9345
Overview
1
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.
237218
69
60
FINRA - Cybersecurity: Understanding Your Role
8561
Overview
0.5
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.
237220
56
30
FINRA - Debt Markups and Disclosure Requirements
8589
Intermediate
0.5
This course covers rules and regulatory guidance surrounding the identification of prevailing market price and the factors to consider when determining markups on transactions in debt securities. FINRA - Debt Markups 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 Markups and Disclosure Requirements in Renaissance. Any advice or commentary given in Renaissance about FINRA - Debt Markups 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 Markups and Disclosure Requirements at its discretion. This course is not included in Quest CE's Firm Element Program.
237221
63
30
FINRA - Electronic Communications: What Independent Registered Representatives Need to Know
8562
Overview
0.5
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.
237222
87
30
FINRA - Electronic Communications: What Retail Staff Need to Know
8563
Overview
0.5
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.
237223
85
30
FINRA - Exchange-Traded Products: Understanding Leveraged and Inverse ETPs
8564
Overview
0.5
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.
237225
56
30
FINRA - Financial Crimes
12813
Intermediate
1
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.
271691
90
60
FINRA - Financial Exploitation of Senior and Vulnerable Adults
12373
Overview
1
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.
268336
85
50
FINRA - Fixed Income ETFs
16239
Intermediate
0.5
This course is intended to help securities industry professionals understand fixed income exchange-traded funds (ETFs). By reviewing the underlying products and ETF mechanics, learners are taught how fixed income ETFs are created and purchased as well as how market forces can impact investments. The course also highlights the advantages and disadvantages of investing in fixed income ETFs and provides guidelines to compare them to one another as well as to other products available on the market.
293897
62
30
king this course, you will be able to:
- understand the basics of fixed income products;
- explain the mechanics of ETFs, including the creation and redemption mechanism, and how they impact prices and liquidity;
- describe how changes in the market can impact the price of fixed income ETFs;
- illustrate how ETFs are traded;
- identify the benefits and risks of investing in fixed income ETFs; and
- compare different types of fixed income ETFs and mutual funds.
FINRA - Fixed Income: Retail Sales Practices
9412
Intermediate
1
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: 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.
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.
237227
61
30
FINRA - Form U4: A Tool for Transparency
22025
Overview
0.5
This course provides important reminders regarding the obligations that individuals have with Form U4 throughout different phases of their careers and proactive steps they can take to meet this obligation.
316771
59
60
FINRA - Identifying and Escalating Customer Complaints
22027
Overview
0.5
This course will highlight the role that registered representatives (RRs) play in properly identifying and escalating customer complaints. In this context, the course will explore considerations related to identifying and escalating customer complaints and will then review scenarios that highlight some common errors in these areas, along with the potential ramifications for both RRs and firms. The course will also review what happens to a complaint once it is reported to FINRA and then delve into the greater framework of FINRA rules in order to understand the regulatory landscape in which these requirements take place.
316772
55
30
FINRA - Information Barriers: Protecting MNPI and Preventing Insider Trading
15326
Intermediate
0.5
This course is designed to help securities industry professionals understand information barriers as they relate to the safeguarding of material nonpublic information (MNPI) and the prevention of insider trading. Through review of relevant laws and regulations, learners are reminded of the foundational concepts of information barriers and review some regulatory obligations of firms and associated persons regarding MNPI. Risks of information barrier failure and potential risk control strategies are explored through scenarios involving research and investment banking personnel.
278279
42
30
ing Objectives: By taking this course, you will be able to:
- define information barriers and give examples of different types of information barriers;
- utilize firm written supervisory procedures (WSPs) and resources to comply with your obligations regarding information barriers;
- describe regulatory obligations of firms and associated persons relating to MNPI and its safeguarding; and
- explain illegal insider trading and some ways to prevent or detect it.
FINRA - Insider Trading
8570
Overview
1
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.
237232
102
60
FINRA - Insider Trading: Understanding Your Responsibilities
19347
Intermediate
0.5
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.
This course provides information that can help learners understand the changing investor landscape and financial capability among U.S. adults. It examines possible effects of the pandemic as well as data on investor practices, knowledge and information sources. Content Includes: Overview of the NFCS, Possible Effects of the Pandemic, Characteristics of Investors, Financial Capability, Demographic Differences, Investing Practices, Characteristics of New Investors, Risk Tolerance, Fraud Concerns, Investor Knowledge
335348
65
30
FINRA - Municipal Bonds: Regulatory Considerations
9383
Intermediate
1
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.
237234
95
60
FINRA - Outside Business Activities and Private Securities Transactions
8573
Overview
1
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.
237235
56
60
FINRA - Outside Business Activities and Private Securities Transactions for Independent RRs
8574
Intermediate
1
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 and Private Securities Transactions for Independent RRs 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 and Private Securities Transactions for Independent RRs in Renaissance. Any advice or commentary given in Renaissance about FINRA - Outside Business Activities and Private Securities Transactions for Independent RRs is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA - Outside Business Activities and Private Securities Transactions for Independent RRs at its discretion. This course is not included in Quest CE's Firm Element Program.
237236
46
60
FINRA - Penny Stock Sales
9317
Intermediate
1.5
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.
237237
118
75
FINRA - Prohibited Conduct in Customer Relationships
22043
Overview
0.5
This course aims to provide a high-level awareness of certain prohibited practices surrounding customer relationships. The course addresses a wide range of job functions and registrations by taking a thematic approach to identifying and analyzing certain prohibited practices related to fair dealing with customers, particularly surrounding: unauthorized account activity; excessive trading and churning; communications standards; and misuse of material nonpublic information (MNPI).
318199
71
30
FINRA - Real Estate Investment Trusts (REITs): Regulatory Considerations
9425
Intermediate
1
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.
237240
80
60
FINRA - Regulation Best Interest for Compliance RRs & Supervisors
14426
Intermediate
1
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.
275751
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
NEW! - FINRA - Regulatory Concerns for Products
24160
Overview
0.5
This course provides learners with updates on current regulatory concerns surrounding products. Learners will also be provided with effective practices for registered persons and supervisors.
335534
34
30
nt Includes:
- Complex Products Features and Risks
- Complex Products Investor Protection Concerns
- Private Placements Regulatory Considerations
- Reasonable Investigation of Private Placements
- Supervising Private Placement Recommendation
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.
237242
84
30
FINRA - Treasury Securities
20065
Overview
0.5
This course provides learners with an in-depth analysis of Treasury securities, a cornerstone of fixed-income markets. It is designed to help learners differentiate between several types of Treasury securities, describe their markets, and understand common trading strategies featuring these products.
313096
62
60
FINRA - Understanding Alternative Mutual Funds
8833
Intermediate
0.5
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.
237245
51
30
FINRA - Understanding Retail Structured Products
9391
Intermediate
0.5
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.
237246
48
35
FINRA - Understanding Social Media for Retail Registered Representatives
8585
Overview
0.5
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.
