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.

Training Topics

- outside business activities; - gifts and gratuities; - fair prices and commissions; - borrowing from customers; - interacting with FINRA staff; and - speaking up.

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.

Training Topics

- 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

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.

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.

This course covers the creation and maintenance of written supervisory procedures (WSPs) and common areas that they cover.

Training Topics

Content Includes: - Basic WSP requirements - Maintenance and documentation of WSPs - Supervision and conflicts of interest - Communication reviews - Customer account reviews - Transaction review and investigation

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.

Training Topics

- 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

This annual course highlights select industry priorities from FINRA's Examinations and Risk Monitoring Program report. It works to familiarize learners with resources and methods for staying current on their own.

Training Topics

Manipulative trading Regulatory events reporting Private placements Segregation of assets and customer accounts

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

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.

Training Topics

Content Includes: - Securities Transactions Away From BD - Conflicts of Interest - Opening Accounts & Rule 2090 - Reg BI - Obligations to FINRA

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.

Training Topics

Content Includes: - Cybersecurity and new account opening identify validation - Crypto asset developments - Books and records - Trusted contact persons - Resources and methods for staying current

TBD

This course explains the unique characteristics and common costs associated with 529 savings plans and ABLE programs. Participants are presented with scenarios that emphasize a registered representative's regulatory responsibilities when recommending these products to clients. FINRA - 529 Savings Plans and ABLE Programs is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA - 529 Savings Plans and ABLE Programs in Renaissance. Any advice or commentary given in Renaissance about FINRA - 529 Savings Plans and ABLE Programs is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA - 529 Savings Plans and ABLE Programs at its discretion. This course is not included in Quest CE's Firm Element Program.

This course prepares learners for working in a hybrid work environment, which includes working remotely and returning to an office setting. It also provides guidance on applying firm policies and procedures while working in each environment.

Training Topics

Content Includes: - Setting up a home office - Gifts and entertainment policies - Cybersecurity and protecting confidential information - Returning to the office - Applying firm policies and procedures in remote and office settings

This training is intended to assist firms in implementing the Senior Safe Act training requirements. As the required training must be specific to organizations and roles, this training by itself is not sufficient to satisfy the training requirements. This course will help securities firms and their associated persons detect and address financial exploitation of senior and vulnerable adult investors, provide a high-level overview of the regulatory framework around senior and vulnerable adult investor protection and reporting requirements, and serve as a resource for firms implementing the requirements of the Senior Safe Act.

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.

Training Topics

Content Includes: - Customer Due Diligence - Suspicious Activity Reports - Account Opening Flags - Transaction Reviews - Suspicious Transactions and Money Movements - Low-Priced Securities - Investigations

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.

Training Topics

- When to File a SAR - Recordkeeping - Confidentiality - SAR Filing Procedures - Writing a SAR Narrative - Amending SARs and Continuing Activity

This course explores why anti-money laundering (AML) compliance programs and ongoing customer due diligence are necessary. It also describes with a focus on the supervisor�€™s role in recognizing and escalating suspicious activity.

Training Topics

- Customer Identification Programs - Verification of Customer Information - Beneficial Ownership - Assessing Money Laundering Risk - Detecting Suspicious Activities - Reporting Suspicious Activity

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

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.

Training Topics

Written 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

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.

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.

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.

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.

This course presents regulatory requirements and industry compliance practices related to business gifts to help you understand your role as a supervisor in complying with FINRA rules. Scenarios demonstrate how to determine whether gifts are business-related, and illustrate proper gift-aggregation and recordkeeping techniques. FINRA - Business Gifts: Understanding Supervisory Responsibilities is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA - Business Gifts: Understanding Supervisory Responsibilities in Renaissance. Any advice or commentary given in Renaissance about FINRA - Business Gifts: Understanding Supervisory Responsibilities is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA - Business Gifts: Understanding Supervisory Responsibilities at its discretion. This course is not included in Quest CE's Firm Element Program.

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.

This course is designed to help wholesalers understand their compliance responsibilities. It covers the consequences of noncompliance with requirements for communications with the public. FINRA - Communications With the Public: Compliance Issues for Wholesalers is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA - Communications With the Public: Compliance Issues for Wholesalers in Renaissance. Any advice or commentary given in Renaissance about FINRA - Communications With the Public: Compliance Issues for Wholesalers is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA - Communications With the Public: Compliance Issues for Wholesalers at its discretion. This course is not included in Quest CE's Firm Element Program.

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.

This course uses scenarios to remind supervisors of their obligations when overseeing registered representatives. It covers several areas including reviews of correspondence, transactions, outside business activities, private securities transactions and Form U4 disclosures.

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.

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.

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.

This course covers concepts to help supervisors implement firm procedures for protecting confidential personal customer information and detecting possible breaches in information security. It provides suggestions for what to do if customer information is compromised and steps to take to better protect this information. FINRA - Customer Information Protection for Supervisors is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA - Customer Information Protection for Supervisors in Renaissance. Any advice or commentary given in Renaissance about FINRA - Customer Information Protection for Supervisors is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA - Customer Information Protection for Supervisors at its discretion. This course is not included in Quest CE's Firm Element Program.

This course focuses on the necessity for cybersecurity controls in your day-to-day supervision of registered representatives, and includes a review of possible consequences of lapses. Cybersecurity-related scenarios are presented to help supervisors learn how to recognize and respond to cyber threats. FINRA - Cybersecurity - Supervisors: Understanding Your Role is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA - Cybersecurity - Supervisors: Understanding Your Role in Renaissance. Any advice or commentary given in Renaissance about FINRA - Cybersecurity - Supervisors: Understanding Your Role is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA - Cybersecurity - Supervisors: Understanding Your Role at its discretion. This course is not included in Quest CE's Firm Element Program.

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.

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.

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.

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.

This course helps supervisors understand their responsibilities with respect to electronic communications. It shows how regulatory standards apply to social media and other electronic communications. FINRA - Electronic Communications: What Supervisors Need to Know is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA - Electronic Communications: What Supervisors Need to Know in Renaissance. Any advice or commentary given in Renaissance about FINRA - Electronic Communications: What Supervisors Need to Know is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA - Electronic Communications: What Supervisors Need to Know at its discretion. This course is not included in Quest CE's Firm Element Program.

This course helps wholesalers understand their compliance responsibilities with respect to electronic communications. It shows how regulatory standards apply to social media and other electronic communications. FINRA - Electronic Communications: What Wholesalers Need to Know is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA - Electronic Communications: What Wholesalers Need to Know in Renaissance. Any advice or commentary given in Renaissance about FINRA - Electronic Communications: What Wholesalers Need to Know is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA - Electronic Communications: What Wholesalers Need to Know at its discretion. This course is not included in Quest CE's Firm Element Program.

This course instructs learners on the importance of acting ethically and what to do if they see unethical behavior in the workplace. It also explains how to recognize and mitigate ethical dilemmas in the financial industry through real world examples.

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.

This course covers the review process that vets a new product for regulatory concerns per FINRA guidelines. As the learner explores the vetting process, they are reminded that registered persons are only permitted to sell products that the firm with which they are associated offers.

Training Topics

Content Includes: - Definition of a new product -Vetting procedures guidelines - Internal product review - Formal approval - Understanding of why it is imperative to only sell approved firm products - Resources for additional considerations for specific products

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.

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.

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.

Training Topics

By taking 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.

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.

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.

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.

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.

Training Topics

Learning 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.

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.

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

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.

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.

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.

This course covers regulations governing the treatment of outside business activities and reviews factors registered wholesalers - who are required to know and follow FINRA rules as well as firm policies and procedures governing outside business activities - should consider before participating in an outside business activity or conducting a private securities transaction. FINRA - Outside Business Activities and Private Securities Transactions for Wholesalers is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA - Outside Business Activities and Private Securities Transactions for Wholesalers in Renaissance. Any advice or commentary given in Renaissance about FINRA - Outside Business Activities and Private Securities Transactions for Wholesalers is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA - Outside Business Activities and Private Securities Transactions for Wholesalers at its discretion. This course is not included in Quest CE's Firm Element Program.

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.

This course addresses two distinct privacy considerations that institutional sales representatives may encounter in their day-to-day business activities: the importance of protecting private client information and the need to maintain confidentiality when suspicious activity is encountered. Activities and case studies provide opportunities to explore and reinforce how to apply core concepts. FINRA - Privacy Considerations: Conducting Business with Institutional Clients is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA - Privacy Considerations: Conducting Business with Institutional Clients in Renaissance. Any advice or commentary given in Renaissance about FINRA - Privacy Considerations: Conducting Business with Institutional Clients is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA - Privacy Considerations: Conducting Business with Institutional Clients at its discretion. This course is not included in Quest CE's Firm Element Program.

This course uses case studies adapted from FINRA enforcement actions to illustrate the duty to conduct reasonable investigations concerning Regulation D offerings. It covers the use of private placements as a source of capital and sales practice abuses that can occur with such securities. FINRA - Private Placements: Conducting Reasonable Investigations for Regulation D Offerings is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA - Private Placements: Conducting Reasonable Investigations for Regulation D Offerings in Renaissance. Any advice or commentary given in Renaissance about FINRA - Private Placements: Conducting Reasonable Investigations for Regulation D Offerings is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA - Private Placements: Conducting Reasonable Investigations for Regulation D Offerings at its discretion. This course is not included in Quest CE's Firm Element Program.

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).

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.

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.

Training Topics

- 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

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.

Training Topics

Content Includes: - Complex Products Features and Risks - Complex Products Investor Protection Concerns - Private Placements Regulatory Considerations - Reasonable Investigation of Private Placements - Supervising Private Placement Recommendation

Focusing on retail branch offices, this course reviews key supervisory obligations. Participants review topics on the supervision of sales practices and the consequences of failing to adequately supervise. FINRA - Retail Branch Office Supervision: Compliance With Regulations is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA - Retail Branch Office Supervision: Compliance With Regulations in Renaissance. Any advice or commentary given in Renaissance about FINRA - Retail Branch Office Supervision: Compliance With Regulations is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA - Retail Branch Office Supervision: Compliance With Regulations at its discretion. This course is not included in Quest CE's Firm Element Program.

This course is intended for general securities principals (Series 24) and limited securities principals (Series 26) about their supervisory responsibilities over registered representatives working in retail branch offices. This course covers the regulatory and compliance obligations of retail branch office managers and supervisors. Scenarios illustrate typical situations involving hiring and supervising staff, monitoring sales activity, communications and delegation, and the consequences of not fulfilling supervisory obligations. FINRA - Retail Branch Office Supervision: Understanding Supervisory Responsibilities is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA - Retail Branch Office Supervision: Understanding Supervisory Responsibilities in Renaissance. Any advice or commentary given in Renaissance about FINRA - Retail Branch Office Supervision: Understanding Supervisory Responsibilities is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA - Retail Branch Office Supervision: Understanding Supervisory Responsibilities at its discretion. This course is not included in Quest CE's Firm Element Program.

This course is intended for general securities principals (Series 24) and limited securities principals (Series 26) about their supervisory responsibilities over registered working primarily with senior investors. This course highlights special issues that are common to many older investors and baby boomers approaching retirement. Topics address supervisory responsibilities with regard to the suitability of recommendations to older investors and of communications aimed at this investor segment. FINRA - Retail Supervision: Sales to Senior Investors is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA - Retail Supervision: Sales to Senior Investors in Renaissance. Any advice or commentary given in Renaissance about FINRA - Retail Supervision: Sales to Senior Investors is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA - Retail Supervision: Sales to Senior Investors at its discretion. This course is not included in Quest CE's Firm Element Program.

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.

This course is designed for registered representatives, their supervisors, and sales support staff that work with institutional clients. It is also appropriate for other financial service industry professionals interested in a refresher of regulatory concerns regarding suitability for institutional customers. This course covers supervisors' regulatory and compliance obligations at firms servicing institutional clients. Scenarios highlight supervisors' responsibilities regarding various business areas, including trading, institutional sales, proprietary trading, and investment banking. Participants review challenges related to hiring and supervising staff, delegation, and failure to document, and consequences of failing to perform, supervisory duties. FINRA - Supervision: Obligations for Broker-Dealers with Institutional Customers is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA - Supervision: Obligations for Broker-Dealers with Institutional Customers in Renaissance. Any advice or commentary given in Renaissance about FINRA - Supervision: Obligations for Broker-Dealers with Institutional Customers is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA - Supervision: Obligations for Broker-Dealers with Institutional Customers at its discretion. This course is not included in Quest CE's Firm Element Program.

This course uses case studies adapted from actual disciplinary actions to remind supervisors of their obligations to monitor sales and trading. It helps supervisors better understand the potential consequences of failing to carry out their supervisory responsibilities. FINRA - Supervision: Obligations When Monitoring Sales and Trading is reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license. FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA - Supervision: Obligations When Monitoring Sales and Trading in Renaissance. Any advice or commentary given in Renaissance about FINRA - Supervision: Obligations When Monitoring Sales and Trading is the sole responsibility of Provider and does not reflect the views of FINRA. FINRA reserves the right to amend FINRA - Supervision: Obligations When Monitoring Sales and Trading at its discretion. This course is not included in Quest CE's Firm Element Program.

This course covers the basic framework of a supervisory system required under FINRA rules, including the requirements for office and personnel registrations, internal inspections, and annual compliance meetings.

Training Topics

Content Includes: - Basic components for a supervisory control system specified by FINRA's Supervision Rule (Rule 3110) - Written supervisory procedures (WSPs) - Types of offices and the business that is permitted to be conducted at each office - Supervision of offices and registered persons - Annual compliance meeting requirements - Internal inspections

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.

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.

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.

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.