Todd Rosenfeld, Chief Learning Officer at STC, discusses FINRA Firm Element CE.
Join Todd Rosenfeld, Chief Learning Officer at Securities Training Corporation, as he unpacks the essentials of FINRA’s Firm Element Continuing Education (CE).
In this video, Todd dives into the Firm Element training requirements—what FINRA mandates for firms to ensure their team stays informed, compliant, and ethically grounded.
Key Takeaways:
- Firm Element Overview: Learn about the updates and how these impact compliance training, from AML integration to the expanded registration requirements.
- Annual Compliance Must-Haves: Understand the importance of an annual needs analysis, comprehensive training plans, and the critical record-keeping steps to maintain compliance.
- Ethics and Professional Responsibility: Todd emphasizes that Firm Element training isn’t sales-oriented but focused on ethical practices and up-to-date regulatory standards.
- Streamlined Training Solutions: Todd discusses how firms can tailor training to fit their business—wealth management, institutional sales, or investment banking.
This video is your roadmap to creating effective, compliant, and relevant Firm Element training. Catch Part Two for more on best practices!
