FINRA Continuing Education Requirements

Initial and Annual Needs Analysis and Continuing Education Plan

Whether as part of our broker-dealer compliance retainer program, or on an as needed basis, we can conduct your broker-dealer’s annual FINRA Continuing Education Needs Analysis and prepare the written Continuing Education Training Plan pursuant to FINRA’s Continuing Education Firm Element requirement.

We can provide all appropriate educational materials to satisfy the rule requirements. All materials are selected specifically with your firm’s approved business lines and any special training needs in mind. Additionally, we can provide training upon request.