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Conferences & Events |
FINRA is pleased to announce the following sponsors for this year's Spring Securities Conference.
7city Learning offers comprehensive and innovative training solutions for qualifications, Financial Product Training, CFA exams, and customized in-house programs. Supporting the world's largest and best-known financial firms with a wide range of interactive and dynamic training solutions, 7city continues to develop our reputation as a forerunner in training innovation. ACA Compliance Group is a full-service compliance consulting firm mostly comprised of former SEC, FINRA, and state regulators. The difference between ACA and other consulting firms is that ACA offers a wide range of general and customized compliance solutions and GIPS verification services that respond to clients' needs in a timely and cost-effective manner. For information on our services contact us at 561-988-3310 or dstafford@acacompliancegroup.com. Email Archiving & Compliance - Meet SEC/FINRA Requirements LiveOffice AdvisorMail meets all regulatory requirements for the proper handling of emails, attachments, Bloomberg, Reuters, mobile devices and IMs. With 10 years of experience, billions of messages archived and 4,500 audits passed, AdvisorMail is a trusted compliance solution. (888) 623-1774.
Complinet is the leading provider of solutions that dynamically deliver highly relevant compliance intelligence to the global financial services community. Established in 1997, Complinet serves over 100,000 industry professionals in 81 countries. We offer a unique range of solutions that ultimately deliver compliance intelligence - Regulatory Insight, Global Screening and Policy Manager.
Experts in IT compliance solutions, DISC specializes in assisting financial firms with regulatory compliance. DISC's user-friendly solutions include Email/IM/Bloomberg Archiving & Compliance and Remote Backup services. DISC is committed to excellent service, whether it is helping a client through an audit or recommending a solution to fit a firm's specific needs. EAI's Web-based, modular Platinum© system fully supports and integrates complex operations. EAI's Compliance module provides features and functionality to manage risk and compliance across multiple business lines including direct business and insurance products. EAI's Commissions module enhances speed and accuracy of commission processing and rep productivity. Call (503) 644-3057 x223 for a demo. FIRE Solutions provides comprehensive compliance solutions including:
For more information (including demos), please visit FIRESolutions.com or call (866) ASK-FIRE. FirmElement.com offers comprehensive compliance management solutions assisting registered broker-dealers in fulfilling annual requirements. Services include online multi-designation CE training, needs analysis and CE plan services, annual compliance meeting and questionnaire services, including "Red Flag" notifications. Our diverse course selection includes hot topic issues, meeting individualized needs and firm specific goals. Global Relay Communications Inc. Founded in 1999, Global Relay is a leading provider of Message Archiving and Continuity solutions to securely store email and instant messages (AOL, MSN, Yahoo, Blackberry, Bloomberg, Reuters, Jabber) for SEC and FINRA compliance, business continuity, eDiscovery and audits. Built on a reputation of compliance excellence and customer service, Global Relay has 1,800+ customers and was named the only "Strong Performer" by The Forrester Wave™: Message Archiving Hosted Services, Q1 2008. Global Relay's customers include leading broker-dealers, registered investment advisers, hedge funds, banks and The Chicago Stock Exchange. Kaplan Financial Education is a leading global provider of financial education solutions to professionals around the world, helping candidates leverage their careers by preparing them for Securities Licensing and Insurance Prelicensing exams, Continuing Education requirements and the CPA, CFA®, FRM®, CAIA®, CFP®, ChFC®, CLU®, CASL™, CPCU® exams. Kaplan Financial Education is part of Kaplan, Inc., a leading international education services provider and a subsidiary of The Washington Post Company. Established in 1984, MGL Consulting Corporation is a full-service consulting firm with a domestic and international practice. The firm provides risk management and business solutions to broker-dealers, investment advisers and insurance agencies to minimize regulatory exposure and capitalize on business opportunities. MGL's complete suite of offerings includes FINRA, SEC, NFA, and CFTC registrations, insurance licensing and appointments, ongoing compliance services, professional development programs and consulting services covering a wide spectrum of managerial, financial, regulatory and business expansion challenges. For more information regarding these services, please visit www.mglconsulting.com or contact us directly at (281) 367-0380.
NewRiver's FundPOINT® product suite for mutual fund sales transactions includes the industry's only data feed and Web-based point-of-sale solution sourced daily from EDGAR - now with market-timing rules. Created to ensure firms have compliance-grade data based on their fund lineup, these solutions help increase organizational efficiency and enhance investor relations. NOVON is a leader in providing the financial services industry experienced professionals with the right skills to get the job done - strategic assessments, project management, business and operations analysis. NOVON's services include business assessments, business integration and implementation, systems and data conversions, regulatory and compliance reviews and general operations process improvement. Visit us at www.novon.net to learn more.
NRS, a division of SourceMedia, is a well respected compliance consulting and registration services company for broker-dealers and investment advisers. Technology offerings such as advertising review, disclosure management, gift reporting, continuing ed, field auditing, automated surveillance and complaint tracking assist broker-dealers with meeting current compliance requirements. For more information please call (888) 879-7990 or visit www.nrs-inc.com.
Deployed across more than 250 companies in 33 countries worldwide, Orchestria intelligently analyzes and actively controls more than 80 million electronic actions every day. Orchestria technology ensures that employees who intend to do damage are stopped, while empowering employees who inadvertently breach policy to correct their actions before they do harm. Ovations offers a bundled technology and service solution for business entertainment compliance. Our proprietary system facilitates requests, approvals, management and reporting on corporate entertainment assets while our account teams help reduce costs, strengthen relationships and monitor compliance. Ovations delivers industry best practices and the record keeping requirements of NASD Rule 3060.
PaperClip Incorporated markets to the financial services industry with a suite of products and services delivering usability and compliance. Focused on removing paper from the business process, these solutions manage valuable information electronically making it easy for entire companies to manage, access, and exchange documents with their trading partners while helping to maintain compliance. Pearson VUE is a FINRA-approved provider of qualification exams and continuing education sessions. Stop by our booth to learn about delivering continuing education sessions out of your own firm as well as the superior testing experience at our high-quality, conveniently located Pearson Professional Test Centers. Visit www.PearsonVUE.com/FINRA for more information and an online test center tour. Prometric, a wholly owned subsidiary of ETS, is the recognized global leader in technology-enabled testing and assessment services. Its comprehensive suite of services, including test development, test delivery and data management capabilities, allows clients to develop and launch global testing programs as well as accurately measure program results and data.
RegEd is the leading provider of compliance solutions including compliance management, training and continuing education and registration and licensing services. RegEd is driven by technology innovation and has developed a line of intelligent Internet-based products to help clients efficiently handle compliance with regulations. Renaissance Regulatory Services, Inc. Manage Through Change Renaissance Regulatory Services, Inc. (RRS) provides comprehensive compliance and operational consulting and outsourcing services to broker-dealers, investment advisers, hedge funds and banks. Specializing in SEC and FINRA compliance examinations, written supervisory procedures, internal controls, regulatory reporting, and registration services, RRS staff has the experience and insight to meet all your compliance needs. Services are customized to your firm's operations. RRS consultants and partners are former state and federal regulators and compliance professionals.
For 25 years, Seabury & Smith, Inc., FINRA's insurance program administrator, has been the leading originator and provider of insurance solutions for the securities industry. We understand the unique risks and exposures a broker-dealer may face better than anyone. Visit us online at www.seaburyandsmith.com or call (800) 978-6273 to learn more about how the FINRA-sponsored Insurance Program can serve your firm's insurance needs.
Serving financial firms since 2001, SECCAS delivers a comprehensive tool set for compliance officers of large and small firms. This feature rich “managed service” brings e-communications into one interface for review. Sort, score, search by keyword with excluded disclaimers plus reports. Simple implementation, increased productivity and almost no impact on IT infrastructure. Fully indexedWORM archives written for client delivery and third-party storage. Letters for 17a-4(f)(2), 17a-4(f)(2)(i) and 17a-2(f)(2)(vii) provided. Custom exports for audit on demand; responsive customer support always. Call (866) 328-2168 or write to info@seccas.com. Smarsh's Email/Messaging Archiving and Monitoring service will make your records management implementation a breeze. We offer solutions that fit the needs and budgets of any size firm. Our success is attributed to superior technology and responsive customer service. Our extremely high customer retention rate speaks for itself. Wolters Kluwer Financial Services Wolters Kluwer Financial Services is a leading provider of content, technology, and services for compliance and risk management professionals in banking, securities, and insurance. CCH Wall Street offers customizable compliance tools addressing written supervisory procedures, investment adviser compliance manuals and employee personal trade surveillance. At www.cchwallstreet.com subscribers access a suite of databases and resources that offer compliance insight and in-depth regulatory analysis in more than 80 jurisdictions internationally. |
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