Training Needs Analysis and Continuing Education Training Plan Development

FINRA Rule 1120 requires that all firms prepare a Continuing Education Needs Analysis and a training plan that addresses the needs identified in that analysis each year.

To help clients develop a strategic Firm Element Continuing Education plan, FIRE Solutions offers QuickComply CENA/TP, a targeted training needs analysis and training plan template created by our staff of compliance experts and former FINRA examiners. This robust 30-page document is fully compliant with FINRA Rule 1120 and acts as a platform for FIRE's compliance experts to assist your firm in completing this necessary research

Let FIRE Solutions Help You Stay Compliant

FIRE Solutions' compliance experts will quickly and thoroughly assist you in the completion of the QuickComply CENA/TP template. Our compliance professionals offer the combined expertise of over 100 years of industry experience, ensuring the highest degree of standards and professionalism. Let the qualified professionals at FIRE Solutions develop a targeted and strategic Continuing Education Needs Analysis and Training Plan for your firm.

Content is written as a cohesive document with a devoted section to the FINRA Regulation Guidelines for Firm Element Training. This section contains the specific market and economic issues delineated by the FINRA Regulation document. The Needs Analysis portion of the QuickComply CENA/TP template provides a designated placeholder for detailed exhibits, including Firm Element CE reports, annual employee questionnaire results, interviews with managers and associates or any other supporting documentation. FIRE Solutions will provide your firm with up-to-date information that aligns with FINRA, NYSE, CBOE, and SEC requirements.

The FIRE Solutions QuickComply CENA/TP template is professionally formatted and presented in custom-developed binder. The result is highly professional final presentation format for examiners.