Nasd-institute.com
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Nasd - Professional Development - Education & Training Home
Description
Excerpted from the website:
- Continuing Education
- FINRA, in conjunction with other self-regulatory organizations and the Securities Industry/Regulatory Council on Continuing Education, administers a two-part mandatory Continuing Education Program. The program consists of a Regulatory Element and a Firm Element. The Regulatory Element requires all registered persons to take computer-based training in industry rules and regulations, on the second anniversary of their initial securities registration and every three years thereafter. The Firm Element requires broker-dealers to keep their "covered persons" – employees who deal with customers, and their supervisors – up to date on job- and product-related subjects by way of an annual firm-developed and administered training program.
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