Types of Questionnaires
Understand the various Questionnaire categories available for firms to roll out within the Quest CE platform.
Overview
Quest CE offers several types of Questionnaire services that firms may select to deploy to their enrolled user population as part of their compliance program. Once assigned, users can access their active Questionnaires by navigating to the Questionnaire menu in the top navigation bar when logged into their user profile.
Note: The Questionnaire menu tab at the top of a user profile is only visible to users with an active Questionnaire assignment in their profile.
Types of Questionnaires Available
Annual Compliance Questionnaire (ACQ) The ACQ is a recurring questionnaire typically rolled out on an annual basis to capture attestations, disclosures, or compliance-related acknowledgments from registered representatives or employees. ACQ rollout timelines will vary, but firms often use this to questionnaire for year-end compliance confirmations across their user population.
Individual Needs Analysis (INA) The INA is designed to gather information specific to an individual representative's practice, feedback on prior last year's training & processes, book of business, or personal profile. This questionnaire supports suitability assessments and helps firms collect representative-level data relevant to their compliance and supervisory obligations.
Firm Needs Analysis (FNA) The FNA captures needs analysis information at the firm level rather than the individual level. Unlike the INA, this questionnaire is typically assigned to and completed by a designated compliance administrator or supervisor rather than individual representatives. It is used to assess firm-wide practices, product usage, and operational data in support of supervisory review. Upon completion, Quest CE processes the responses and delivers results to the firm, including firm element course recommendations and a partially completed written training plan template for the firm's records and ongoing use.
General Questionnaire The General Questionnaire is a flexible, configurable option that firms can use for a variety of custom purposes not covered by the other specialized questionnaire types. This may include policy acknowledgments where responses are needed, ad hoc data collection, or custom compliance initiatives unique to the firm.
Social Media Questionnaire The Social Media Questionnaire is used to capture information about a representative's use of social media platforms for business purposes. Firms deploy this questionnaire to support their supervision of digital communications and ensure alignment with applicable regulatory requirements.
Form ADV 2B Questionnaire The Form ADV 2B Questionnaire collects the information needed to populate or update a representative's Form ADV Part 2B (Brochure Supplement), supporting investment advisory firms in maintaining current, accurate disclosure documents for their supervised persons. This questionnaire type includes a unique approval workflow: once a user submits their completed ADV 2B Questionnaire, the submission is routed to Compliance for review and approval. Upon approval, a PDF of the individual's ADV 2B Brochure becomes available for download.
Onboarding Questionnaire The Onboarding Questionnaire is assigned to new users as part of a firm's onboarding workflow and is customized to each firm's specific requirements. It is typically the first task a new representative encounters, capturing initial profile data, attestations, or disclosures that must be completed before they can proceed with their training program or other compliance obligations.