Continuing Education Requirements

Certain Registered Persons of FINRA member firms are subject to continuing education training subsequent to their initial qualification and registration, pursuant to Rule 1120. Training requirements consist of a Regulatory Element and a Firm Element, which includes an Annual Compliance Meeting.

The regulatory requirement is administered by FINRA and subject to established time requirements; whereas, the Firm Element is a firm obligation that must be specifically designed to align with the unique nature of the firm in order to enhance a registered person’s securities knowledge, skill, and professionalism.

Pursuant to Conduct Rule 3010, all FINRA members are required to conduct an annual compliance meeting with their Registered Representatives and Registered Principals. Taurus Compliance Consulting’s professionals will aid in the administration of your Annual Compliance meeting at your home office or through remote technology. Annual compliance meetings will be tailored to appropriately address your firm’s products and services.

Taurus Compliance Consulting, LLC includes an experienced staff and network of lawyers, accountants, and Registered Principals who can either assist your firm’s compliance officer or serve in a full capacity on behalf of your firm to design and administer training to satisfy the requirements of FINRA Rule 1120. Our services include but are not limited to:

  • Firm Assessment (Clientele & Products)
  • Identification of Training Needs
  • Training Plan Development
  • Incorporation of the Written Supervisory Procedures
  • On-line Delivery Options
  • On-site Presentation
  • Training Materials
  • Attendance Tracking
  • Ongoing Resource
  • Interactive Format with Q&A Session
  • Tracking and Reminders

For more information on how Taurus can partner with you, call us on 1-888-963-9519.

Call 1-888-963-9519