Annually, each firm must analyze and evaluate its training needs to provide a firm-developed and administered training program. This training keeps registered employees current on topics related to their professional responsibility. The Firm Element requires broker-dealers to conduct a Needs Analysis to develop a written plan for training. They are to then maintain records documenting the content and completion of the program.
For more information see CE Council Guide to Firm Element Continuing Education Programs or contact firstname.lastname@example.org