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Needs Analysis & CE Plan ServicesOur compliance management experts will assist your firm in meeting Rule 1120 which requires your firm conduct an annual needs analysis and develop a CE training plan. Experienced compliance consultants provide a custom tailored needs analysis and CE plan in accordance with FINRA, NYSE, CBOE and SEC requirements. Services include the following custom tailored consultative services to develop your custom tailored needs analysis and CE plan per Rule 1120: custom development of needs analysis questionnaire, delivery, collection, analysis of questionnaire results, needs analysis recommendations and customized firm written continuing education training plan.
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