Todd Rosenfeld, Chief Learning Officer at STC, discusses FINRA Firm Element CE.
In this edition of Todd Talks, Todd Rosenfeld, Chief Learning Officer at STC, shares actionable best practices for implementing and managing FINRA Firm Element Continuing Education programs. Whether you’re in compliance, training, or senior management, these insights are designed to help you optimize your CE strategy.
Key Takeaways:
- Incorporate into WSPs: Include Firm Element CE in your Written Supervisory Procedures with clear accountability.
- Assign Responsibility: Appoint compliance or training staff to manage CE and involve senior management as needed.
- Target Training: Tailor CE to firm-specific activities and include essentials like off-channel communication policies.
- Document Thoroughly: Ensure all training is well-documented to meet compliance standards.
- Optimize Vendors and LMS: Keep training updated (e.g., T+1 rules), integrate STC’s SCORM-compliant courses, and customize with your firm’s policies.
Ready to enhance your Firm Element CE? Contact your STC Account Representative or Customer Success Manager for more details. Together, we’ll build a training program that aligns with your firm’s unique goals and ensures compliance.
