Continuing Education Module
Confidently construct, deliver and administer your firm’s annual continuing education requirements
Broker-dealers commonly struggle to find a solution to their covered registered persons’ annual education compliance requirements. As new rules emerge or existing rules are modified, broker-dealers must implement annual compliance program that is both relevant to the size and scope of their business and up-to-date with current regulations. This can be laborious and difficult to manage.
The NRS Solution
The ComplianceMAX Continuing Education Module (CE Module) allows you to confidently construct, implement, manage and report on your firm’s annual continuing education program. You can administer your entire annual compliance program on one technology platform with high-quality course content and make accessing and completing required coursework easy for your covered registered persons. Select from hundreds of online courses authored by regulatory compliance professionals to create a comprehensive compliance program tailored to your firm’s individual needs.
Features and Benefits
The ComplianceMAX CE Module has the tools that you need to manage your entire covered registered person annual compliance program smarter, faster and for a lower cost:
- Annual Compliance Questionnaire
- Firm Element Needs Analysis
- Firm Element Continuing Education
- On-Demand Annual Compliance Meeting
- Insurance Continuing Education
- Double-Dip Insurance / Firm Element Continuing Education