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Firm Element Continuing Education Plan 2011 FINRA Rule 1250
January 15, 2012
FINRA Rule 1250 requires all covered registered persons (any person registered with a member who has direct contact with customers in the conduct of the member’s securities sales, trading and investment banking activities, any person registered as an operations professional or research analyst, and to the immediate supervisors of such person) to participate in the members Firm Element Continuing Education. Review the 2011 plan to ensure that all covered registered persons have completed the assigned subject matter.