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 gives firms the opportunity to view its representative makeup and help drive the overall compliance structure.

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

Host Annual Compliance Meetings, Simply 

Save time and money by hosting your Annual Compliance Meeting on an online delivery platform that allows your representatives to log in 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.

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Education Solutions for Success


For Compliance

With intuitive administrative tools and flexible payment options you can develop your team and stay in compliance within a budget that works for you.