Helpful Tools from the NASD

The NASD has recently designed convenient training and education tutorials for compliance professionals to utilize.  These 10 minute sessions can be accessed at any time via an on-line classroom and all of this comes to you at no charge!

Some of the topics covered include; 529 Savings Plans, Anti-Money Laundering, Sales Practices and Supervision.  You can rely on the information being current and reflective of recent rule changes. 

Firms may find it useful to include some of the Online classes in their Firm Element requirement for Continuing Education.   In addition, you can track the usage of the webcasts via the NASD Report Center.

For more information, please visit http://www.nasd.com/EducationPrograms/index.htm

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