The Securities Institute of America, Inc. offers all four parts of the FINRA required firm element plan, we begin with the development of your needs combined with federal law requirements, conduct an online needs analysis with a percentage of your representatives, offer the best choice of a 300 course module selection, and track and deliver reports right to your desktop for easy printing for your records.
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Needs Analysis – Each registered broker/dealer’s responsibility to perform the necessary evaluation and assessment of the unique needs of its business and personnel. We have obtained the required elements of a complete survey from regulators and have incorporated those elements into our online needs analysis. Our survey solicits information including, products (retail and institutional), suitability, customer communications and supervisory responsibility. Once the required percentage of your representatives complete the survey we will summarize the responses and return a comprehensive report and analysis of your firm’s needs and knowledge levels.
Plan Document – The process begins with the creation of a plan delivered to you for your review and comments. Upon completion of the Needs Analysis (online by your associates), we write a company specific Educational Plan which includes course selection for the year, delivery medium, educational goals, tracking methods.
Course Modules- Based on the results of your needs analysis we will select from a unique curriculum of 200 different course titles available to mix and match among your registered representative population any way you desire. An unlimited number of our courses are available for your annual usage. Courses are available via internet and text format. Your representatives attend the online course assigned to them and take a 25-question retention exam to verify completion.
Tracking- Our automated tracking and reporting system allows you to track any of your representative’s compliance and/or educational needs. In short, it tracks everything in one location. The amount of time and effort we can save you is quite substantial while ensuring you that you are in complete compliance and protecting you from potential regulatory problems.