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Review and update Firm Element Continuing Education Plan
September 30, 2018
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 Needs Analysis by analyzing the Company’s size, organizational structure, and scope of business activities; regulatory developments; the performance of registered persons in the Regulatory Element; the need for supervisory training for persons with supervisory responsibilities; and the requirement to enhance the securities knowledge, skill, and professionalism of its covered people.