What is the Firm Element?

By: Guest
Date: 0000-00-00-00:00:00-
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The Firm Element requires broker-dealers to annually evaluate and prioritize their training needs, i.e., conduct a Needs Analysis, and develop a written plan. In planning, developing, and implementing the Firm Element training, each broker-dealer must take into consideration its size, structure, scope of business, and regulatory concerns.
[d] By: Guest
Date: 0000-00-00-00:00:00--
Response
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