Securities Firm Element Continuing Education Courses
The Firm
Element continuing education requirement has
a different but complementary focus to the
Regulatory Element training that a
broker-dealer must have.
Each year, a broker-dealer will evaluate and
prioritize its training needs and prepare a
written training plan designed to help its
registered rep's securities knowledge,
skill, and professionalism.
The training programs in your company's
"Firm Element" plan will generally cover the
general investment features and associated
risk factors, suitability and sales practice
considerations, and applicable regulatory
requirements of the securities products,
services, and strategies that it's
registered reps offer to the public.
Click here for a link to our Firm
Element Courses that may fit your company's
needs.
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