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Continuing Education Template and Needs Analysis 2012
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Regulatory Compliance’s “Continuing Education Program and Firm Element Training Plan” has been created to meet the requirements described in Membership Rule 1120 and includes an annual Needs Analysis survey. This Needs Assessment is a requirement in the formulation of the Firm Element, under rules mandated by FINRA, NYSE and related Self Regulatory Organizations (SROs), and will be used by the firm to formulate its continuing education focus.
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