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FINRA Firm Element CE & 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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