Annual Compliance Meeting

RegEd's Annual Compliance Meeting takes advantage of FINRA's 2006 interpretation of Rule 3010(a)(7) by making it easier and more cost-efficient for firms of any size to comply with the Annual Compliance Meeting requirement. FINRA ruled that firms can now use "on-demand" webcast technology to deliver their ACM, without using a live facilitator. Under this ruling, registered representatives can access the recorded webcast at their convenience, provided that certain technological safeguards are followed.

Our Annual Compliance Meeting fully complies with all FINRA requirements. In developing a webcast meeting, RegEd customers can choose from our proprietary Annual Compliance Meeting content catalog, or provide custom content. RegEd offers a series of topics that can be combined to create the best ACM for each customer. Customers can also provide their own audio, video or slides to be developed into a customized ACM to suit their company's unique needs.

Key FeaturesBenefits
  • Extensive catalog covering a range of topics
  • Tailored courses meet your unique requirements
  • Convenient on-demand access
  • Webcast technology eliminates need for a live facilitator

Annual Compliance Meeting provides an easy and efficient way to comply with FINRA Rule 3010. Use our convenient webcast meetings to keep your employees informed about compliance and your business.

For more information, click here | View the ACM OnDemand Catalog