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Firm Element Continuing Education Plan 2012 FINRA Rule 1250

March 31, 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. Complete the Written Training based on the Needs Analysis and implement the plan by assigning course material to covered registered persons. The plan should cover the products, services, and strategies offered by the member.


March 31, 2012
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