Loading Events

« All Events

  • This event has passed.

Firm Element Continuing Education Plan 2012 FINRA Rule 1250

November 30, 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 completion status of assigned courses for all covered registered persons. Send out written notification to covered registered persons of courses that need to be completed by December 31, 2012.


November 30, 2012
Copyright© 2024 The LeGaye Law Firm P.C.