Annual Compliance Meetings

Cut costs, improve productivity and accelerate learning by taking your annual compliance meeting online.

Increase Efficiency

Alleviate the costs and resources associated with hosting a live event. Our on-demand training solution is designed to facilitate employee learning, no matter where they are, from any device. Simply send a pre-recorded annual compliance meeting to your entire representative population and have them watch, review and attest to the training materials on their own time. You can then login to the system to track attendance and view training completions using the reporting dashboard.

Meeting Options

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Compliance Meeting Options


If you’re in a time crunch or are simply looking for an off-the-shelf option that meets your firm’s annual compliance needs, you may benefit from using a pre-built ACM module. With more than 50 pre-built modules to choose from, you can easily find topics that best fit your firm’s training needs. Additionally, all modules include time-stamped activities, attendance attestations, page pacing/tracking and an interactive discussion board.

Pre-Built ACMs


If off-the-shelf modules don’t satisfy your firm’s unique training needs, then you may benefit from a custom-built ACM. With this option, you can simply send your firm-specific materials to our Content Team to be built into your on-demand compliance meeting. With a custom-built module, you have the option to include your own videos, images, audio and any other necessary content to best meet the needs of your firm.

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On-Demand Compliance

In accordance with FINRA Rule 3110(a)(7) and Rule 206(4)-7 under the Advisers Act, all of our annual compliance meetings feature an interactive discussion board, time-stamped attendance tracking, unique login credentials and a digital attestation at the end of every meeting. This functionality ensures that, among other safeguards, each representative is actively engaged and able to ask questions that relate directly to their understanding of course materials.

Studio Recorded Audio

Anyone who has sat through an online ACM with artificially-generated voice technology knows the difference having live, studio-recorded audio makes. By taking the time to record, edit and produce each of our online training modules, we remove the monotone and inconsistent delivery of even the best text-to-speech software to provide firms with a more engaged learning experience.


Our modules combine rich content with on-demand webcast technology, to deliver a learning experience that benefits everyone at your firm. Featuring the industry’s largest selection of annual compliance meeting modules, you can utilize pre-built meetings, mix and match individual modules or create a custom presentation based on preexisting materials. Imagine the possibilities of creating an online version of your live meeting – complete with custom imagery, video, and audio.

Complete Your Program

Firm Element Training

Deliver your Needs Analysis Survey and choose from over 450 courses.
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Annual Questionnaires

Collect and analyze data regarding your representatives’ annual activities.
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Disclosure Tracking

Individually track Outside Business Activities, Gifts and Entertainment!  Learn More

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Complete the form below to learn more about Annual Compliance Meetings.

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