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.