2016 FINRA E-learning Course Listing
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1 Search for specific words or phrases by pressing the Control (Ctrl) and F keys on your keyboard simultaneously. QUEST CE FINRA E-learning Course Listing Enclosed is a list of the E-learning courses offered by Quest CE as a part of its ongoing partnership with FINRA. If you are searching for courses by category, such as Department, Job Function or Product, click here to launch Catalog Builder or select the button below. 1
2 QUEST CE 2016 FINRA E-Learning Course Listing! IMPORTANT! Request more information Before you begin, please read the following carefully. The enclosed listing features FINRA Codes and QCE CatID numbers. To view a full description of each course, click on the arrow icon ( ) provided to the right of each title. 2
3 Search for specific words or phrases by pressing the Control (Ctrl) and F keys on your keyboard simultaneously. 529 College Savings Plans Sales Practices Annual Compliance Reminders for Institutional Registered Representatives - Vol. 1 Annual Compliance Reminders for Institutional Registered Representatives - Vol. 2 Annual Compliance Reminders for Institutional Registered Representatives - Vol. 3 Annual Compliance Reminders for Registered Representatives - Vol. 1 Annual Compliance Reminders for Registered Representatives - Vol. 2 Annual Compliance Reminders for Registered Representatives - Vol. 3 Annual Compliance Reminders for Registered Representatives - Vol. 4 New! Annual Compliance Reminders for Registered Representatives - Vol. 5 Books and Records Business Conduct - Institutional: Understanding Information Barriers Business Gifts (Video) Business Gifts: Independent Registered Representative Responsibilities Business Gifts: Institutional Sales Representative Responsibilities Business Gifts: Registered Representative Responsibilities Business Gifts: Understanding Compliance Responsibilities Business Gifts: Understanding Supervisory Responsibilities Business Gifts: Understanding Wholesaler Responsibilities Communications With the Public: Compliance Issues for Independent Registered Representatives Communications With the Public: Compliance Issues for Wholesalers Communications With the Public: What Retail Staff Need to Know Corporate and Government Bonds: Regulatory Considerations Customer Information Protection for Registered Representatives Customer Information Protection for Supervisors New! Cybersecurity: Understanding Your Role EL-ELC122 EL-ELC204 EL-ELC219 EL-ELC228 EL-ELC190 EL-ELC203 EL-ELC218 EL-ELC227 EL-ELC327 EL-ELC131 EL-ELC199 EL-VLC001 EL-ELC187 EL-ELC188 EL-ELC165 EL-ELC167 EL-ELC166 EL-ELC189 EL-ELC212 EL-ELC211 EL-ELC210 EL-ELC226 EL-ELC155 EL-ELC156 EL-ELC
4 QUEST CE 2016 FINRA E-Learning Course Listing Request more information Debt Mark-Ups Electronic Communications: What Independent Registered Representatives Need to Know Electronic Communications: What Retail Staff Need to Know Electronic Communications: What Supervisors Need to Know Electronic Communications: What Wholesalers Need to Know Ethical Considerations for Institutional Sales Representatives Ethical Considerations for Operations Professionals Ethical Considerations for Registered Representatives Ethical Considerations for Supervisors Exchange-Traded Products: Understanding Leveraged and Inverse ETPs Fixed Income Suitability: Retail Sales Practices Foreign Corrupt Practice Act: Avoiding Improper Payments Hedge Funds: Understanding Sales Practice Responsibilities Insider Trading Institutional Trading Regulations Life of an Equity Trade (Video) MSRB Supervision Rules (Video) Municipal Bonds: Regulatory Considerations Outside Business Activities Outside Business Activities for Independent Registered Representatives Outside Business Activities for Wholesalers Penny Stock Sales Privacy Considerations: Conducting Business with Institutional Clients Private Placements: Conducting Reasonable Investigations for Regulation D Offerings EL-ELC143 EL-ELC216 EL-ELC213 EL-ELC214 EL-ELC215 EL-ELC173 EL-ELC172 EL-ELC170 EL-ELC171 EL-ELC179 EL-ELC125 EL-ELC110 EL-ELC118 EL-ELC157 EL-ELC225 EL-VLC008 EL-VLC009 EL-ELC231 EL-ELC132 EL-ELC185 EL-ELC184 EL-ELC160 EL-ELC198 EL-ELC
5 Search for specific words or phrases by pressing the Control (Ctrl) and F keys on your keyboard simultaneously. New! Private Securities Transactions Real Estate Investment Trusts (REITs): Regulatory Considerations Retail Branch Office Supervision: Compliance With Regulations Retail Branch Office Supervision: Understanding Supervisory Responsibilities Retail Supervision: Sales to Senior Investors Senior Investor Issues: Diminished Decisional Capacity Suitability and Know Your Customer Obligations: FINRA Rules 2111 and 2090 Supervision: FINRA Rules and 3170 Supervision: Obligations for Firms with Institutional Clients Supervision: Obligations When Monitoring Sales and Trading Understanding Commodity Futures - Linked Securities Understanding Retail Structured Products Understanding Social Media for Retail Registered Representatives Use of Social Media for Business Purposes (Video) Variable Annuities: Regulatory Implications Variable Annuities: Sales Practice Issues for 1035 Exchanges Variable Annuities: Suitability and Disclosure for New Purchases EL-ELC241 EL-ELC234 EL-ELC126 EL-ELC127 EL-ELC139 EL-ELC158 EL-ELC197 EL-ELC236 EL-ELC116 EL-ELC202 EL-ELC181 EL-ELC174 EL-ELC217 EL-ELC163 EL-ELC232 EL-ELC119 EL-ELC
6 QUEST CE 2016 FINRA E-Learning Course Listing Request more information FINRA Anti-Money Laundering Modules Bank Affiliated Broker-Dealers: Understanding Your Role - Vol. 1 Broker-Dealers Conducting Business with Foreign Customers: Understanding Your Role - Vol. 1 Compliance: Suspicious Activity Surveillance - Part 1 Compliance: Suspicious Activity Surveillance - Part 2 Independents: More Key Issues Independents: Understanding Your Compliance Obligations Institutional: Customer Identification Procedures Institutional: Due Diligence for Foreign Correspondent Accounts (Video) Institutional: Escalating Concerns of Unusual Activity and Responsibilities for Due Diligence Institutional: Exploring New Risks Institutional: Identification and Reporting Issues Institutional: Identifying and Managing Higher-Risk Clients Institutional: More Key Issues Institutional: Recognizing Red Flags Institutional: Understanding Your Compliance Obligations Institutional: Understanding Your Role Vol. 1 Institutional: Your Role in Detecting and Deterring Money-Laundering Activity Operations: Customer Identification Procedures Operations: Escalating Concerns of Unusual Activity and Responsibilities for Due Diligence Operations: More Key Issues Operations: Recognizing Red Flags Operations: Understanding Your Compliance Obligations EL-ELC233 EL-ELC235 EL-ELC195A EL-ELC195B EL-ELC221 EL-ELC206 EL-ELC152 EL-VLC013 EL-ELC176 EL-ELC135 EL-ELC121 EL-ELC112 EL-ELC222 EL-ELC144 EL-ELC207 EL-ELC230 EL-ELC192 EL-ELC153 EL-ELC177 EL-ELC224 EL-ELC150 EL-ELC
7 Search for specific words or phrases by pressing the Control (Ctrl) and F keys on your keyboard simultaneously. Operations: Your Role in Detecting and Deterring Money-Laundering Activity Retail: Customer Due Diligence Retail: Customer Identification Procedures Retail: Due Diligence for Private Banking Accounts (Video) Retail: Exploring New Risks Retail: More Key Concepts Retail: Recognizing and Escalating Suspicious Activity Retail: Recognizing Red Flags Retail: Understanding Your Compliance Obligations Retail: Understanding Your Role - Vol. 1 New! Retail: Understanding Your Role - Vol. 2 Retail: Variable Annuities and Variable Life Insurance Retail: Your Role in Detecting and Deterring Money-Laundering Activity New! Supervisors: Understanding Your Role Wholesalers: More Key Issues Wholesalers: Understanding Your Compliance Obligations Wholesalers: Your Role in Detecting and Deterring Money-Laundering Activity EL-ELC193 EL-ELC120 EL-ELC154 EL-VLC014 EL-ELC136 EL-ELC220 EL-ELC111 EL-ELC145 EL-ELC205 EL-ELC229 EL-ELC239 EL-ELC164 EL-ELC191 EL-ELC240 EL-ELC223 EL-ELC209 EL-ELC
8 QUEST CE 2016 FINRA E-Learning Course Listing FINRA E-learning can be added to any managed program or Firm Element Express account. Request more information 8
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