Firm Element

Since 1995, the securities industry adopted a continuing education standard that has two familiar components; Firm Element and Regulatory Element. Both elements impact a broker/dealer in many ways. The most important is providing valuable training and reference tools to industry professionals.

As a pioneer in the Securities CE arena FinancialCampus has been providing effective ways to satisfy the standards imposed by Firm Element and Regulatory requirements. FinancialCampus has assisted over 1000 firms establish and complete training programs that meet the standards set forth by industry regulators.

Our Turn-Key solution sets us apart. The flexible system includes a comprehensive registered representative and supervisory Needs Analysis, an in-depth written Plan Document, unlimited use of our Course Modules and a complete Tracking and Reporting Database System (allowing you to track any of your own internal compliance and education related courses and meetings). In short, it tracks everything in one location. The amount of time and effort you save is substantial.

Needs Analysis

We have solicited the required elements of a complete survey from the regulators. Our survey solicits information including, products (retail and institutional), suitability, customer communications and supervisory responsibility. Once all of your reps complete the survey we will summarize the responses and return a comprehensive report and analysis of your firm's needs and knowledge levels.

Online Needs Analysis: Review the example survey currently being used.

Plan Document

Our Research Department has reviewed hundreds of plans and regulators' feedback. Each year we develop, write and edit over 300 written Plan Documents. The process begins with a "boiler-plate" plan shipped to you for review and comments. Upon completion of the Needs Analysis (online by your associates), we write a company specific Educational Plan which includes course selection for the year, delivery medium, educational goals, tracking methods and rep sanctions.

Modules

Select a unique curriculum of 250 different course titles from our library available to mix and match among your registered representative population any way you desire. An unlimited number of our courses are available for your annual usage. After the Needs Analysis and job functions are reviewed, you assign appropriate courses to each representative. Courses are delivered via internet and mastery is verified by the successful completion of a mastery exam.

Tracking

The Internet now becomes your new tracking mechanism. All online courses are immediately added to the reps database for your immediate real-time reporting. Text and disk courses, as well as your company specific information, can also be tracked with this easy to use on-line database system. We can even track your Compliance Manual and Meeting! 12 real-time tracking reports to select from at anytime; or customized reporting available upon request.

The Internet now becomes your new tracking mechanism. All on-line courses are immediately added to the reps database for your immediate real-time reporting. Text and disk courses, as well as your company specific information, can also be tracked with this easy to use on-line database system. We can even track your Compliance Manual and Meeting!

12 real-time tracking reports to select from at anytime; or customized reporting available upon request.

...the most progressive firms in the financial service industry are rapidly moving toward an eLearning environment.

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Total Continuing Education Credits Nationwide is over 20,000 for CFP^®, PACE and State Insurance.

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