Broker/Dealer Education
Securities Broker Dealers-Compliance Advisers can help you develop the Firm Element portion of your Continuing Education program including a Needs Analysis and Written Training Plan as well as provide you with the necessary resources such as the following courses in order to help your registered persons meet the requirements of your newly-established plan—
- 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
- Broker/Dealer Education
- Broker/Dealer Registration
- Compliance Consulting
- Compliance Manuals
- FINRA (NASD) Rule 1017 Material Change Applications
- FinOp & Accounting Services
- Form ADV – Customized Solution
- Form ADV Annual Amendments
- Investment Adviser Compliance Consulting
- Investment Adviser Procedures Manuals
- Investment Adviser Registration
- Mock Compliance Exam
- State Registered Advisers – NOW UNDER $100 MILLION*
- Web IARD/CRD Services
- Request for Quote
Compliance Advisers is a proud member of the National Society of Compliance Professionals. NSCP provides dedicated support to compliance professionals in the securities industry and helps Compliance Advisers stay on the cutting edge of the ever-changing compliance world.
Angel Investors
Venture Worthy evaluates a company's viability for funding based on a number of factors. Compliance Advisers prides itself on operating a business the right way so you can trust us year-in and year-out. Visit VentureWorthy.com for more information.
