Securities Broker Dealers – Compliance Advisers helps broker/dealers develop the Firm Element portion of Continuing Education programs including the Needs Analysis and Written Training Plan. We also can offer resources to provide training in the following areas—
- Anti-Money Laundering Fundamentals
- Basics of Bonds
- Branch Office Management
- Ethics for the Securities Professional
- General Supervision for Small Brokerage Offices
- Mutual Fund Suitability
- Private Placements
- Public communications
- Regulations of Electronic Communications
- Section 529 Plans
- Soft Dollars, Direct Brokerage and Personal Trading
- Suitability for Annuities
- Suitability for the Institutional Market
- Variable Contracts
Contact us today for more information about developing your customized Firm Element.