Continuing Education Requirements

NCC can assist your organization in fulfilling Continuing Education Requirements, and can keep you apprised of any changes and/or modifications to the requirements to ensure your organization’s and personnel’s compliance.

With precious few exceptions, every associated person of a Broker-Dealer who has contact with a public customer is subject to meeting the Continuing Education requirements specified by FINRA. Continuing Education is extremely important. Properly designed and administered, the firm’s Continuing Education program communicates current and essential product, processing, and regulatory knowledge to its associated persons resulting in better customer service.

There are two (2) parts to continuing Education:

  • The Regulatory Element administered by FINRA via computer based training; and
  • The Firm Element created and administered by the Broker-Dealer.

NCC can provide the necessary materials for your firm to:

  • Meet the stringent requirements for preparation and maintenance of related books and records
  • Perform requisite firm-specific annual needs analysesIdentify “covered persons”
  • Design the firm element
  • Implement training programs
  • Track compliance for Regulatory and Firm Elements