In 1995, the securities industry adopted a continuing education standard that has two familiar components: Firm Element and Regulatory Element. Both elements impact a broker/dealer in many ways. The most important is that, unlike insurance continuing education, successful implementation of the FINRA continuing education program is the Firm’s responsibility, rather than the "Producers."
As a pioneer in the Securities CE arena FinancialCampus has been providing effective ways to satisfy the standards imposed by Firm Element and Regulatory requirements since the beginning. FinancialCampus has assisted hundreds of firms establish and complete training programs that have met the standards set forth by industry regulators. Our Turn-Key solution sets us apart. Our flexible system includes a comprehensive Registered Representative and Supervisory Training Needs Analysis, an in-depth written Plan Document template, unlimited use of our courses and a complete Tracking and Reporting Database System (allowing you to track any of your own internal compliance and related courses and meetings). In short, our system delivers and tracks everything in one location, maximizing the savings of your time and effort.
Following regulators’ guidelines, your reps, or team tasked with needs analysis, can complete their survey quickly and easily through an efficient online process. SmartPros will summarize responses and develop a comprehensive analysis of your firm’s knowledge levels, gaps, and needs.
Based on a review of thousands of training plan documents, we’ve summarized years of experience into a standard Plan Document template. Upon completion of the Needs Analysis, we will work at your direction to implement your firm’s Training Plan including course selection, delivery media, and tracking methods.
SmartPros has hundreds of course titles that can help you design an effective curriculum for your firm; many are approved for insurance CE credit as well. An unlimited number of our courses are available for your use, and you can even assign courses appropriate to each rep’s requests, gaps, or needs. All courses are delivered online, including completions and scoring/verification.
Your compliance team can monitor curriculum content, course selection, and exam completion in real time, with a fraction of the effort you may now spend on Firm Element Tracking & Reporting. Any online courses taken by your reps are immediately added to your compliance tracking system. Our automated communication and reminder features streamline the job of keeping your reps on-track in meeting their assigned deadlines.