David E. McClean & Associates // DMA
Framing Compliance as Enterprise Risk™
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These regulatory and other links can help you and your firm meet your Firm Element Continuing Education obligations, at virtually no cost. Resources like this are very useful for small firms:
FINRA Podcasts
FINRA E-learning Courses
FINRA Webcasts
FINRA Classroom Learning
New York Institute of Finance E-Learning and Classroom Course
AML Presentation 1