ANNUAL COMPLIANCE MEETING & ANNUAL COMPLIANCE QUESTIONNAIRE SOLUTIONS

In accordance with FINRA rules for registered representatives and broker-dealer firms, the Annual Compliance Meeting (ACM) and Annual Compliance Questionnaire (ACQ) are important for more than just complying with regulations. The ACM provides firms with the perfect opportunity to highlight many of the compliance objectives discussed throughout the year and make sure the compliance priorities are still shared throughout the organization. The ACQ provides the firm with an opportunity to view its advisor makeup and help drive the overall compliance structure.


Tired of the annual filing and paperwork? WebCE's dynamic ACM and ACQ solutions are here to help. To learn more about WebCE's online ACM and ACQ solutions, use the form below to contact a member of our world-class support team.


WebCE Catalog  Securities & Firm Element Solutions  View ACM Modules (PDF)

ANNUAL COMPLIANCE MEETING SOLUTIONS FROM WEBCE

Your company can save time and money by hosting your Annual Compliance Meeting online with WebCE. Our dynamic, online delivery platform simplifies the FINRA Annual Compliance Meeting process. It allows your representatives to log in online from anywhere, watch videos of real-life examples, and ask questions through your online discussion board. Admins can log in to your feature-rich tracking system, where they can view the company's Annual Compliance Meeting attendance and comments.

Get More With WebCE’s Annual Compliance Meeting Program

  • Training Material with Real-Life Examples
  • Personalized Topic Choices
  • Custom Content Options
  • Online Discussion Board
  • Real-Time, Online Attendance Tracking
  • Reminder Emails to Ensure Timely Completions

ANNUAL COMPLIANCE MEETING ONLINE DISCUSSION BOARD

As required by FINRA Rule 3110(a)(7) and Rule 206(4)-7 under the Investment Advisers Act, all of our annual compliance meeting solutions include an interactive online discussion board with individual login credentials and time-stamped attendance tracking. These features ensure each of your representatives will be actively engaged and able to ask questions relating directly to the course materials.

ANNUAL COMPLIANCE QUESTIONNAIRE FROM WEBCE

With WebCE's online survey tool, your company can streamline your Annual Compliance Questionnaire (ACQ) process. When you choose to deliver your Annual Compliance Questionnaire with WebCE, you can create customized surveys to collect and analyze data about your registered representatives' compliance activities. With our complete suite of online tracking tools, your firm will be able to rest easy!

Online Annual Compliance Tracking Features & Benefits

  • Online Convenience
  • Data-Rich Tracking Reports
  • Pre-Built or Customized Solutions
  • Reminder Emails

Customized Annual Compliance Meeting and Annual Compliance Questionnaire solutions and Firm Element training programs from WebCE