FINRA CONTINUING EDUCATION REQUIREMENTS
Whether as part of my broker-dealer compliance retainer program, or on an as needed basis, I can conduct your broker-dealer's annual FINRA Continuing Education Needs Analysis and prepare the written Continuing Education Training Plan pursuant to FINRA’s Continuing Education Firm Element requirement.
I can provide all appropriate educational materials to satisfy the rule requirements. All materials are selected specifically with your firm's approved business lines and any special training needs in mind. Additionally, I can provide training upon request.