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FINRA Firm Element CE & Annual Compliance Meeting

Price: $15

Description: This course is designed to satisfy FINRA registered firms’ requirement to provide Firm Element Continuing Education and Annual Compliance Meeting requirements. It is offered in a semi-customizable format that allows you to:

For example:

  • Design the course by choosing from 125+ pre-selected topics across 23 categories (click the Course Overview pdf below for the full list)
  • Add firm-specific content to further tailor the course content to your firm’s specific training requirements:
    • up to 8 additional topics developed with your own content (we’ll provide the audio)
    • links to firm-specific policies, procedures or other governance documentation
    • firm logo and branding

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