Continuing Education

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.


Customized Compliance Solutions™