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FINRA Firm Element Continuing Education and Annual Compliance Meeting

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 choose from a comprehensive selection of topics in order to tailor the course to your firm’s specific needs. It also allows you to add a limited amount of firm-specific content.

The course is that it is customizable to the needs of your broker-dealer business:

  • design the course by choosing from 125+ topics across 23 categories (most topics are 1-2 minutes and include links to source material) – see attachment for the full list
  • Add up to 8 pages of your own content (we’ll provide the audio)
  • Add links to firm-specific policies, procedures or other governance documentation
  • Option to add firm logo in place of the Exchange Analytics logo in the bottom right of each page in the course

Pricing

# of Users

Price per User

< 50

$ 20

50 – 1,000

$ 15

> 1,000

$ 10

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