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...NASD CEP Firm element
compliance
Faster, Easier, Cheaper!
NASD Continuing Education Program:
The NASD mandated continuing education for all of its registered
representatives in 1996. As part of the Firm Element component of this
mandated continuing education requirement, each securities firm must develop and
administer an ongoing continuing education program to keep it's employees
up-to-date on both job related and product related topics. This NASD section of
Upstart Raising provides services which help fulfill the Firm element requirement
of the CEP for
individuals and entire companies.
Upstart Raising Firm Element
Program:
Through the Courses tab above, Upstart Raising offers several general courses
applicable to the majority of broker-dealers and their covered persons. To
complete a course and earn a corresponding certificate of completion:
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Select a course covering a
specific subject matter from our course list
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Read the accompanying course
material for your selection
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Complete the corresponding
multiple choice exam
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Record the personalized results
identifier provided by our software
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Submit the identifier to your
compliance officer for verification
It's that easy! You can quickly
complete your entire CEP online. Get Started!
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