Broker Dealer - Continuing Education Needs and Assessment

Continuing education (CE) costs both time and money; both should be spent wisely. SCA offers CE plans that not only meet the basic requirements of the FINRA rules, but also provide additional intended benefits.

A CE program offering additional product knowledge and related compliance issues tailored to the specific needs of your employees should translate into a stronger competitive position for your firm. SCA can help your firm with the following:

• Conduct a needs assessment;
• Developing a training plan;
• Providing documentation and updating and revising existing CE plans; and
• Customizing training programs along functional and product lines for supervisory personnel, sales persons, operations personnel and types of business.

Why you should use SCA to meet your firm's CE needs:

• SCA’s plans are tailored specifically to the needs of SCA’s clients, giving them the flexibility of an in-house training program without the cost of a full-time training staff;
• SCA assists clients in conducting their needs assessment and development of their training plans;
• SCA assists firms in developing a plan using in-house training materials and information;
• SCA researches and recommends appropriate courses offered by various
  CE vendors; and
• SCA assists firms in developing documentation procedures.

SCA will help you provide your firm with an informative plan that is easy to implement and document.