Continuing Education Programs for Broker Dealers

FINRA 1120 requires that all registered individuals complete the “regulatory element” after the first 2 years since registration, and continue to repeat the regulatory element every 3 years after passing the 2 year mark. Additionally, any registered individual who trades securities is required to keep up with current securities developments through a current continuing education program.

ACI helps our clients to comply with the FINRA 1120 requirement by conducting a comprehensive review of their supervisory procedural manual to insure that the internal processes necessary to adhere to the continuing education requirements are present. Our compliance-consulting professionals work with the firm to develop a program that satisfies the regulatory element requirements as specified by FINRA 1120 (a) and FINRA 1120 (b).  ACI continuously evaluates training needs in order to provide training services for the firm requirement.

ACI offers training and continuing education programs powered by Fire Solutions including Fire Element Continuing Education, FINRA elearning courses, On-demand Annual Compliance Meetings, CFP Certification Training and Continuing Education, Questionnaire Services (ACQ, OBA, COI, etc.), Exam Prep, Gift and Entertaiment Tracking, and Rep Registration and Tracking. 

To inquire into ACI's Continuing Education Programs for Broker Dealers, contact us at info@acisecure.com.