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Firm Element Training Courses

 

Online Firm Element Courses

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Requirements for all 50 States

NASD Membership and Registration Rule1120 (b) (the “Rule”) sets forth requirements for industry professionals to participate in a firm sponsored training program. Under the terms of the Rule, each firm is required to conduct a needs analysis annually, then prepare and implement an annual training plan to provide training to all registered persons with direct contact with customers, and the immediate supervisors of those registered individuals. The training must meet minimum standards and focus on the particular investment products and services that each firm offers its customers. Currently, there are no state requirements for continuing education training of securities professionals beyond the present NASD requirements. Firms which fail to develop sufficient continuing education programs, and or make available to registered employees continuing education programs, and individuals who fail to comply with their firm’s educational program may be subject to fines, suspensions and or expulsion by the NASD for failure to comply with NASD Conduct Rules 2110 and Membership and Registration Rule 1120.

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$25.00
In stock