Regulatory Element Training Resources



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High Quality Firm Element Training Courses

Stay on top of your continuing education requirements with our wide range of easy-access online courses. These courses are accessible through individual login on our website.

Broker-Dealer Continuing Education Courses

Meet your Firm Element requirement with our top-quality continuing education courses. After your needs analysis and review of required Firm Element training, choose from Regulatory Compliance’s continuing education courses, with more than 100 titles that satisfy the Firm Element requirement. Some of our most popular courses include:

  • 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, Securities Licensing, CFP and CPA Continuing Education

Take courses suitable for continuing education credits in insurance, securities licensing, and CFP and CPA professional credits with our continuing education selections.  Textbooks, software, and exam prep videos are available for purchase. Check our class schedule for one-on-one training.



For a complete list of Regulatory Compliance continuing education courses, contact us or call (603) 434-3594.