Course | Course ID | Level | Credits |
---|---|---|---|
NEW! - FINRA - 2022 Annual Compliance Review | 21776 | 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 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;
|
|||
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 |
|||
FINRA - Annual Compliance Reminders for Registered Representatives - Vol. 1 | 8549 | Overview | 1 |
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. 237205 71 31 |
|||
FINRA - Annual Compliance Reminders for Registered Representatives - Vol. 2 | 8550 | Overview | 1 |
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. 237206 57 60 |
|||
FINRA - Annual Compliance Reminders for Registered Representatives - Vol. 3 | 8551 | Overview | 1 |
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. 237207 114 60 |
|||
FINRA - Annual Compliance Reminders for Registered Representatives - Vol. 4 | 8552 | Overview | 1 |
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. 237208 101 60 |
|||
FINRA - Annual Compliance Reminders for Registered Representatives - Vol. 6 | 9432 | Intermediate | 0.5 |
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. 237210 80 35 |
|||
FINRA - Annual Compliance Reminders for Registered Representatives - Vol. 8 | 9859 | Intermediate | 0.5 |
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. 252548 59 60 - Identify common regulatory requirements
|
|||
FINRA - Annual Compliance Reminders for Registered Representatives - Vol. 9 | 11482 | Overview | 1 |
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. 263492 90 30 |
|||
FINRA - Annual Compliance Reminders for Retail Registered Representatives - Vol. 7 | 8674 | Intermediate | 0.5 |
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. 239611 95 30 |
|||
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: Independent Registered Representatives Responsibilities | 9347 | Intermediate | 0.5 |
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. 237228 47 30 |
|||
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 72 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 Mark-Ups 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 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. 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 89 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:
|
|||
FINRA - Fixed Income Suitability: 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 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. 237226 57 60 |
|||
FINRA - Foreign Corrupt Practice Act: Avoiding Improper Payments | 9346 | Intermediate | 0.5 |
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 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:
|
|||
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. 239144 54 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 | 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 - Private Securities Transactions | 9434 | Intermediate | 0.5 |
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. 237239 50 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
|
|||
FINRA - Senior Investor Issues: Diminished Decisional Capacity | 8579 | Overview | 1 |
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. 237241 82 60 |
|||
FINRA - Senior Investor Issues: Financial Exploitation | 8580 | Intermediate | 0.5 |
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 |
|||
NEW! - 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. 241018 57 30 |
|||
FINRA - Understanding Commodity Futures-Linked Securities | 9314 | Intermediate | 0.5 |
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. 237247 59 30 |
|||
FINRA - Variable Annuities: Regulatory Implications | 8586 | Overview | 0.5 |
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. 237248 55 30 |
|||
FINRA - Variable Annuities: Suitability and Disclosure for New Purchases | 8587 | Overview | 2 |
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. 237249 100 60 |
|||
FINRA - Variable Annuities: Suitability Determination for Exchanges | 9481 | Intermediate | 0.5 |
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. 247999 72 30 |
|||
FINRA AML - Bank Affiliated Broker-Dealers: Understanding Your Role - Vol. 1 | 9421 | Intermediate | 0.5 |
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. 237112 79 30 |
|||
FINRA AML - Broker-Dealers Conducting Business with Foreign Customers: Understanding Your Role - Vol. 1 | 9393 | Intermediate | 0.5 |
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. 237192 62 30 |
|||
FINRA AML - Independents: More Key Issues | 8537 | Overview | 0.5 |
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. 237193 71 30 |
|||
FINRA AML - Independents: Understanding Your Compliance Obligations | 8538 | Overview | 0.5 |
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. 237194 52 30 |
|||
FINRA AML - Retail: Customer Due Diligence | 9362 | Intermediate | 1 |
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. 237195 85 60 |
|||
FINRA AML - Retail: Customer Identification Procedures | 9417 | Intermediate | 1 |
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. 237196 111 45 |
|||
FINRA AML - Retail: More Key Issues | 9360 | Intermediate | 0.5 |
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. 237197 71 30 |
|||
FINRA AML - Retail: Understanding Your Compliance Obligations | 9410 | Intermediate | 0.5 |
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. 237198 50 30 |
|||
FINRA AML - Retail: Understanding Your Role - Vol. 3 | 9436 | Intermediate | 0.5 |
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. 237201 66 30 |
|||
FINRA AML - Retail: Your Role in Detecting and Deterring Money-Laundering Activity | 9398 | Intermediate | 1 |
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. 237203 67 60 |