Annual Compliance Meetings

FINRA Rule 3110(a)(7) requires that broker dealers evidence the attendance and participation of each registered representative and principal at an annual interview or meeting conducted by a designated person or persons in person, by webcast, or similar means. The process associated with this rule dictates that firms show proof that the individual can show proof of attendance, is able to ask questions, and that the representatives and principals attend the entire meeting.

NRS helps broker dealers comply with this requirement through its on-demand Annual Compliance Meetings. NRS on-demand Annual Compliance Meetings allows broker dealers to select from over 110 pre-recorded annual compliance meeting segments, or provide their own specific content. In addition, NRS compliance professionals can provide develop content that is tailored to your firm for meaningful Annual Compliance Meeting reporting.

NRS Annual Compliance Meeting online learning solution provides:

  • Proprietary tracking and communication tools that send automatic customized notifications and reminder emails at intervals you determine
  • Online attestations which ensures that your employees confirm their attendance
  • Certificates of completion that provides immediate documentation
  • On-call Customer Support Team to answer technical questions and address problems
  • Full compliance with FINRA requirements with tracking of registration, question responses, time spent in meeting, meeting completion and credit status

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