Municipal Advisor Training

Effective training that facilitates compliance with key MSRB rules and regulation .

Step One: Needs Analysis

In accordance with MSRB Rule G-3, municipal advisors are required to conduct an annual needs analysis that is used to evaluate and prioritize the applicable training needs of the firm, develop a written training plan, and deliver training. 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: 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 certification which can be downloaded from your account upon course completion.

Course Catalog

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Automated Learning

Get the most out of your MSRB continuing education program with these key features


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System Features Include:

>> Create users individually or bulk load your entire firm.

>> Assign courses to specific users or your entire company.

>> Send automated training reminders with a click of a button.

>> Track learner progress using detailed report metrics.

>> Brand your company portal to reflect your marketing.

>> Keep records and reports stored for seven+ years.

>> Customize content to fit the unique needs of your firm.

>> Access training from any mobile compatible device.

Step Three: Written 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.



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