The Firm Element requirement applies to any person registered with your firm who has direct contact with customers in the conduct of your firm’s securities sales, trading and investment banking activities, any person registered as a research analyst, and to the immediate supervisors of such persons (“covered person”). In general, it is more cost-effective to utilize computer modules that can be completed individually and often in a shorter amount of collective time spent by the firm and covered persons.

You will receive status reminders for incomplete modules at approximately thirty (30), fifty (50), and fifty-eight (58) days after the module is ordered.