“The Firm Element requires broker-dealers to establish a formal training program to keep covered registered persons up-to-date on job- and product-related subjects. In planning, developing and implementing the Firm Element, each broker-dealer must consider its size, structure, scope of business and regulatory concerns. Each broker-dealer must administer its Firm Element Continuing Education Program in accordance with its annual Needs Analysis and Written Training Plan, and must maintain records documenting the content of the program and completion of the program.”
FIRM ELEMENT COURSES
1st BridgeHouse University has developed an online Needs Analysis Questionnaire to assist you in compiling your Written Training Plan. Our needs analysis assesses your firm’s business activities, products, and areas of risks of your firm. From your analysis and plan our CE consultants can recommend relevant and appropriate materials for your registered personal.
NEEDS ANALYSIS AND WRITTEN TRAINING PLAN
We will assist you with choosing, scheduling and supervising course completion. CE Principals can assign as many courses to their reps with the calendar year. All Courses include a quiz that reps need to pass with at least a 70% to receive their certificate of completion.
Insurance and CFP CE can be offered at an additional fee.
FEEDBACK AND EVALUATION SURVEY
1st BridgeHouse University provides full service Continuing Education solutions for Investment Professionals. We offer online tools for CE principals responsible to assess their firms needs, distribute CE materials and supervise their Registered persons completion. Our customized and affordable CE solutions provides unlimited annual access to over 300 various topics through online CE courses. Registered Representatives can complete their assigned courses at their desk, at home or anywhere they deem appropriate day or night, 24/7.
Your registered personnel are able to easily access all of their CE courses by logging into the CE student Protal. We load in your reps and email all the login credentials to your reps. We are your direct point of contact for issues or questions your Reps may encounter.