Archive for July, 2004

NASD Continuing Education Program Firm Element Compliance

Friday, July 23rd, 2004

NASD Continuing Education Program:

The NASD mandated continuing education for all of its registered representatives in 1996. As part of the Firm Element component of this mandated continuing education requirement, each securities firm must develop and administer an ongoing continuing education program to keep it’s employees up-to-date on both job related and product related topics. This NASD section of Upstart Raising provides services which help fulfill the Firm element requirement of the CEP for individuals and entire companies.