What is the Firm Element Organizer?
A. The Firm Element Organizer is a software application that firms can use when undertaking their Firm Element Needs Analysis and in developing written training plans. At the heart of the Firm Element Organizer is a database of FINRA Notices To Members, NYSE Information Memos, and publications from other SROs and the SEC from the past three years. To keep the database current, new items are added regularly. The Firm Element Organizer and a link to a tutorial showing how the Firm Element Organizer might be used when developing a training plan for training about variable annuities at XYZ Co., a hypothetical firm with one office and 25 registered persons, can be found at www.cecouncil.com => Firm Element => Firm Element Organizer. Q. May firms use training materials or presentations provided by outside entities such as regulators, industry trade and professional associations, clearing firms, product manufacturers, and commercial training vendors? A. Training materials and presentations av
Related Questions
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