What are the FINRA Firm Element Requirements?
Firm Element Continuing Education: who needs it? Why do we need it? And what’s involved in the training process? These are the common questions that broker-dealers deal with on an annual basis. Read More
Your Case for E-Learning: Adult Learning Retention
As part of a firm’s annual obligations, firms must conduct an annual compliance meeting for all supervised representatives. These required meetings serve as a way to keep registered representatives current on changing compliance requirements or changes in the firm while addressing current and impending compliance training responsibilities. Read More
20 Courses to Help you Celebrate Social Media Day!
In case you missed it, today is #NationalSocialMediaDay. In celebration of this #hashtag holiday, we’re highlighting a few of our most popular ‘Social Media’ and ‘Communications with the Public’ courses. Read More
The DOL Rule is Going into Effect. Is Your Firm Ready?
As your firm’s Chief Compliance Officer, it’s crucial for you to make sure your firm is ready to comply with the new regulation and that your representatives are prepared to act in their clients’ best interest. Read More
Ten Benefits of Using an E-Learning Training Platform
[SLIDESHOW] Making the switch to an online training platform can be a big step, but it could save your firm from future headaches. Here are ten benefits for transitioning your live training methods to an all-in-one online compliance training platform. Read More
