Need Continuing Education Credits?
Need Securities Series Training?

Our Regulatory compliance services include:

• Broker Dealer Registration
• Finop & Accounting Services
• Compliance Manuals
• Compliance Consulting
• Education

Compliance Officers - Please contact our sales team to discuss the Firm Element needs of your company.

Securities Broker Dealers - Meet the Firm Element requirement for your firm with continuing education training materials from Regulatory Compliance. Our Broker Dealer continuing education materials are of the highest quality and contain updated, timely information. Once your Needs Analysis has been completed and the Firm Element training determined consult Regulatory Compliance's continuing education courseware list offering over 100 titles that meet the Firm Element requirement. Training is provided with a superior Internet delivery system used by Universities and colleges across the nation.

Just a few of our most popular Broker Dealer continuing education courses
suitable to meet the Firm Element requirement (e-mail us for the full list):

• Anti-Money Laundering Fundamentals
• Basics of Bonds
• Branch Office Management
• Ethics for the Securities Professional
• General Supervision for Small Brokerage Offices
• Mutual Fund Suitability
• Private Placements
• Public communications
• Regulations of Electronic Communications
• Section 529 Plans
• Soft Dollars, Direct Brokerage and Personal Trading
• Suitability for Annuities
• Suitability for the Institutional Market
• Variable Contracts

Insurance Continuing Education - Besides Securities Firm Element training materials, we also offer insurance courses suitable for insurance continuing education credits in most states, and securities licensing courseware. CFP's and CPA's - need continuing education credits? Ask us about professional credits for our courseware.