{"id":30348,"date":"2024-11-08T16:16:49","date_gmt":"2024-11-08T16:16:49","guid":{"rendered":"https:\/\/www.stcusa.com\/?p=30348"},"modified":"2024-11-08T16:25:30","modified_gmt":"2024-11-08T16:25:30","slug":"firm-element-ce","status":"publish","type":"post","link":"https:\/\/www.stcusa.com\/resource-center\/news-updates\/todd-talks\/firm-element-ce\/","title":{"rendered":"Todd Talks: FINRA Firm Element CE Part One"},"content":{"rendered":"<p><strong><em>Todd Rosenfeld, Chief Learning Officer at STC, discusses FINRA Firm Element CE.\u00a0<\/em><\/strong><\/p>\n<div style=\"width: 640px;\" class=\"wp-video\"><!--[if lt IE 9]><script>document.createElement('video');<\/script><![endif]-->\n<video class=\"wp-video-shortcode\" id=\"video-30348-1\" width=\"640\" height=\"360\" preload=\"metadata\" controls=\"controls\"><source type=\"video\/mp4\" src=\"https:\/\/www.stcusa.com\/wp-content\/uploads\/2024\/11\/Todd-Talks-FINRA-Firm-Element-CE-Part-One.mp4?_=1\" \/><a href=\"https:\/\/www.stcusa.com\/wp-content\/uploads\/2024\/11\/Todd-Talks-FINRA-Firm-Element-CE-Part-One.mp4\">https:\/\/www.stcusa.com\/wp-content\/uploads\/2024\/11\/Todd-Talks-FINRA-Firm-Element-CE-Part-One.mp4<\/a><\/video><\/div>\n<p data-block-id=\"block-d75221ee-b888-4a87-aba0-4f6b48b384f2\">\n<p data-block-id=\"block-d75221ee-b888-4a87-aba0-4f6b48b384f2\">Join Todd Rosenfeld, Chief Learning Officer at Securities Training Corporation, as he unpacks the essentials of FINRA\u2019s <a href=\"https:\/\/www.stcusa.com\/securities\/continuing-education\/\">Firm Element Continuing Education (CE)<\/a>.<\/p>\n<p>In this video, Todd dives into the Firm Element training requirements\u2014what FINRA mandates for firms to ensure their team stays informed, compliant, and ethically grounded.<\/p>\n<h3>Key Takeaways:<\/h3>\n<ul>\n<li><strong>Firm Element Overview:<\/strong> Learn about the updates and how these impact compliance training, from AML integration to the expanded registration requirements.<\/li>\n<li><strong>Annual Compliance Must-Haves:<\/strong> Understand the importance of an annual needs analysis, comprehensive training plans, and the critical record-keeping steps to maintain compliance.<\/li>\n<li><strong>Ethics and Professional Responsibility:<\/strong> Todd emphasizes that Firm Element training isn\u2019t sales-oriented but focused on ethical practices and up-to-date regulatory standards.<\/li>\n<li><strong>Streamlined Training Solutions:<\/strong> Todd discusses how firms can <a href=\"https:\/\/www.stcusa.com\/corporate-solutions\/\">tailor training to fit their business<\/a>\u2014wealth management, institutional sales, or investment banking.<\/li>\n<\/ul>\n<p>This video is your roadmap to creating effective, compliant, and relevant Firm Element training. Catch Part Two for more on best practices!<\/p>\n<h3><a href=\"https:\/\/www.stcusa.com\/wp-content\/uploads\/2024\/07\/CE-Course-Catalog-v15.pdf\"><strong>View Catalog<\/strong><\/a><\/h3>\n","protected":false},"excerpt":{"rendered":"<p>Todd Rosenfeld, Chief Learning Officer at STC, discusses FINRA Firm Element CE.\u00a0 Join Todd Rosenfeld, Chief Learning Officer at Securities Training Corporation, as he unpacks the essentials of FINRA\u2019s Firm Element Continuing Education (CE). In this video, Todd dives into the Firm Element training requirements\u2014what FINRA mandates for firms to ensure their team stays informed, [&hellip;]<\/p>\n","protected":false},"author":59,"featured_media":29122,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[98,2390,2388,2721,2705],"tags":[1614,2522,2587,2603,2706],"class_list":["post-30348","post","type-post","status-publish","format-standard","has-post-thumbnail","hentry","category-career","category-tools","category-news-updates","category-podcast","category-todd-talks","tag-featured","tag-registered-investment-advisor","tag-securities","tag-todd-rosenfeld","tag-todd-talks"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v23.9 - https:\/\/yoast.com\/wordpress\/plugins\/seo\/ -->\n<title>FINRA Firm Element CE Explained Part One | STC<\/title>\n<meta name=\"description\" content=\"Discover the essentials of FINRA Firm Element CE! 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Learn about training requirements, compliance best practices, and how to tailor training for your firm\u2019s needs.\" \/>\n<meta property=\"og:url\" content=\"https:\/\/www.stcusa.com\/resource-center\/career\/firm-element-ce\/\" \/>\n<meta property=\"og:site_name\" content=\"Securities Training Corporation\" \/>\n<meta property=\"article:publisher\" content=\"https:\/\/www.facebook.com\/stcusa\/\" \/>\n<meta property=\"article:published_time\" content=\"2024-11-08T16:16:49+00:00\" \/>\n<meta property=\"article:modified_time\" content=\"2024-11-08T16:25:30+00:00\" \/>\n<meta property=\"og:image\" content=\"https:\/\/www.stcusa.com\/wp-content\/uploads\/2023\/04\/TT-STC-pass-guarantee-scaled.jpeg\" \/>\n\t<meta property=\"og:image:width\" content=\"1600\" \/>\n\t<meta property=\"og:image:height\" content=\"1067\" \/>\n\t<meta property=\"og:image:type\" content=\"image\/jpeg\" \/>\n<meta name=\"author\" content=\"STC USA\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"Todd Talk: 2024 Settlement Update - The Change to T+1\u00a0\" \/>\n<meta name=\"twitter:description\" content=\"Security Training Corporation&#039;s Chief Learning Officer, Todd Rosenfeld discusses the SEC&#039;s settlement update to T + 1.\u00a0\" \/>\n<meta name=\"twitter:image\" content=\"https:\/\/www.stcusa.com\/wp-content\/uploads\/2023\/04\/TT-STC-pass-guarantee-scaled.jpeg\" \/>\n<meta name=\"twitter:creator\" content=\"@stcseries7\" \/>\n<meta name=\"twitter:site\" content=\"@stcseries7\" \/>\n<meta name=\"twitter:label1\" content=\"Written by\" \/>\n\t<meta name=\"twitter:data1\" content=\"STC USA\" \/>\n\t<meta name=\"twitter:label2\" content=\"Est. reading time\" \/>\n\t<meta name=\"twitter:data2\" content=\"1 minute\" \/>\n<script type=\"application\/ld+json\" class=\"yoast-schema-graph\">{\"@context\":\"https:\/\/schema.org\",\"@graph\":[{\"@type\":\"WebPage\",\"@id\":\"https:\/\/www.stcusa.com\/resource-center\/career\/firm-element-ce\/\",\"url\":\"https:\/\/www.stcusa.com\/resource-center\/career\/firm-element-ce\/\",\"name\":\"FINRA Firm Element CE Explained Part One | STC\",\"isPartOf\":{\"@id\":\"https:\/\/www.stcusa.com\/#website\"},\"primaryImageOfPage\":{\"@id\":\"https:\/\/www.stcusa.com\/resource-center\/career\/firm-element-ce\/#primaryimage\"},\"image\":{\"@id\":\"https:\/\/www.stcusa.com\/resource-center\/career\/firm-element-ce\/#primaryimage\"},\"thumbnailUrl\":\"https:\/\/www.stcusa.com\/wp-content\/uploads\/2023\/04\/TT-STC-pass-guarantee-scaled.jpeg\",\"datePublished\":\"2024-11-08T16:16:49+00:00\",\"dateModified\":\"2024-11-08T16:25:30+00:00\",\"author\":{\"@id\":\"https:\/\/www.stcusa.com\/#\/schema\/person\/1106b26a7ee00c2f6228d89d8da287f8\"},\"description\":\"Discover the essentials of FINRA Firm Element CE! 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