Todd Talks: FINRA Firm Element CE Part One

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.