Securities Firm Element 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 it's 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.