FINRA requires broker dealers to establish a formal training program to keep covered registered persons up to date on job- and product-related subjects. In planning, developing and implementing its FIRM Element program, each broker dealer must consider its size, structure, scope of business and regulatory concerns. In addition, each firm must administer its program in accordance with its written training program, and maintain records that document program content and each rep’s completion of assigned courses.
NRS offers proprietary, industry-leading content, developed by a team of subject matter experts and is complimented by FINRA’s e-learning catalog. Working with NRS staff, firms receive assistance in selecting, implementing, monitoring and documenting a FIRM Element CE plan; NRS takes care of the details so that firms and their representatives can focus on business.
- Available CE Needs Analysis
- Courses available online anytime, anywhere on virtually any Internet-enabled device
- Real-time reporting of all students’ progress