Host your firm’s corporate documents and monitor attestations under one roof.
Three Steps to Compliance
In three easy steps, we can help you comply with MSRB Rule G-3
Step One: Needs Analysis
Our Firm Needs Analysis Survey is used to help organizations perform a firm-wide assessment that will determine the training priorities of its varying branch offices, departments, and employees. Results can then easily be aggregated and analyzed to make data-driven decisions about your training program.
Step Two: Written Training Plan
As part of the MSRB continuing education requirement, firms are required to establish a formal Written Training Plan that outlines the content decisions established by the firm. The primary intent of the Written Training Plan is to tie the objectives, values, products and services of the business into a workable, compliance-oriented training strategy. In our Written Training Plan template, we help establish the training needs and learning styles of your firm by taking into account your firm’s size, structure, scope of business, and much more.
Step Three: Training Program
Our compliance management system is an easy to use training platform that aggregates and maintains your firm’s results in one centralized location. By using our system, you can easily deliver a training program that will enhance your representative’s securities knowledge, skills and professionalism – all while tracking their retention and understanding of course materials through interactive quizzes. To top it off, all of our courses come with a certificate which can be downloaded from your account upon course completion.
Bundle and Save
Save on training when you purchase a Needs Analysis and Written Training Plan through us.
1. Firm Needs Analysis
Serving as an organization-wide assessment, the Needs Analysis determines the varying needs of your firm’s departments, job functions, training priorities, products and services.
2. Written Training Plan
In our Written Training Plan template, we help establish the training needs and learning styles of your firm by talking into account your firm’s size, structure, scope of business, and much more.
3. Training Program
We make managing your training program a breeze. You can add users to the system individually or bulk load your entire firm. We also give you the option to send automated training reminders with a click of a button.
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