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Firm Element CE

Set-up a Firm Element Express program today or schedule a demo to talk to one of our product experts!

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Our Firm Element Express Solution

Ideal for boutique broker-dealers, our Firm Element Express solution is completely self-administered and walks you through the steps of setting-up an account, assigning training and tracking results. Because there is no Account Executive assigned to your account when you sign-up, no demo or contract is needed. You can get started in a matter of minutes!
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Our Enterprise Firm Element Accounts

Our enterprise Firm Element programs are perfect for firms who prefer having the assistance of a dedicated Quest CE account executive. We’ll provide a demo of our system, for which you can hand-pick which services make the most sense for your business. We’ll also work with you to get your account up and running quickly and offer additional services you can’t get with our Express Solution, like SSO and the Branch Audit Tool.
Course Catalog

How Does it Work?

Interested in setting up a Firm Element program? Watch this video to learn more!

Setting up a Firm Element Express program is easy! But don’t just take our word for it. This video walks you through the process of:

> Creating an Account
> Creating your User Profiles
> Assigning Training
> Where to Access Resources
> And More!

Frequently Asked Questions

You have questions - we have answers!

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What is Firm Element?
Firm Element is a FINRA continuing education rule that requires firms to annually deliver training to their representative population. There are three aspects of this requirement, which include 1.) a needs analysis/survey, 2.) a written training plan, and 3.) firm-wide training.
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Who is required to take Firm Element training?
The Firm Element requirements apply to all “covered persons.” A covered person is defined as someone who is registered, including registered representatives, principals, assistant representatives, research analysts, investment bankers, and operations professionals.
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Are covered persons required to complete training?
SRO rules require covered persons to participate in training as prescribed by their firms. Failure to do so could result in disciplinary action by his or her firm or by regulatory authority.
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Can I make edits to your off-the-shelf content?
You bet! With our service, firms have the ability to customize any off-the-shelf Quest CE courses directly in our course authoring tool, Course Builder. There is no additional cost to use the tool, it’s automatically included with a Quest CE training program!
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When does training need to begin each year?
There is no single date on which training must begin, but it must be completed annually. Training dates are determined by the firm and are incorporated into the training plan. Firm sizes and product offerings may affect the amount of training the firm will offer.
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Is there a required number of hours?
Each firm must provide continued education that is reasonable and in accordance with the identified training needs, but there is not a required number of hours for the Firm Element.