Firm Element


To remain in compliance, FINRA mandates that broker dealers and dually-registered firms provide specific training to their representatives, and then report back that the training has been completed.

As part of the ComplianceMAX™ suite and backed by NRS expert compliance professionals, the NRS Firm Element Solution delivers over 250 courses built-in the software as well as providing data and information that ensures you firm meets training requirements.

ComplianceMAX™ Firm Element Solution provides compliance professionals with:

  • World-class support by NRS expert staff who assist firms in selecting, implementing, monitoring and documenting a Firm Element CE plan
  • Easy on-boarding by NRS’ first-class client-services team
  • Training developed by leading compliance professionals and FINRA’s eLearning catalogue
  • Anywhere anytime availability for busy professionals – courses available online anytime, anywhere on virtually any Internet enabled device
  • Continuing Education Opportunities – Many courses qualify for dual or triple credit – CFP® and/or Insurance CE Real-time reporting of all students’ progress online.

We take care of the details

ComplianceMAXTM Firm Element Tracking solution:

  • Ensures timely course completion with automated email reminders sent to students on your schedule, and
  • Engages students with a user-friendly online interface, video content, interactive illustrations and test questions.

NRS takes care of the details so firms can focus on other projects during the busy training season.