BD- Annual Compliance Meeting & Firm Element Continuing Education Training Packet


Regular price $425.00

The Broker-Dealer Annual Compliance Meeting & Firm Element Continuing Education Training Packet serves as a ready-made template to help small firms meet the requirements under FINRA Rule 3110(a)(7) and FINRA Rule 1250(b).  The Training Packet includes thirteen separate operations and compliance related topics to address select regulatory focal points often highlighted during regulatory examinations and emphasized in each year's FINRA Regulatory and Examination Priorities Letter.   The Training Packet also includes an attendance sheet and Annual Compliance Certification for registered and associated persons to complete as documentary evidence of completion.

Version/Update: V.14/October 13, 2017

Total Page Count: 32

Source/Author(s): Connexien