Securities Industry Continuing Education Program
For brokerage professionals involved in the options business, new regulations state that you need to meet the Regulatory Element and the Firm Element requirements.
The Regulatory Element requirements are satisfied by prescribed training set forth by the securities industry. For the Firm Element portion, member firms are required to conduct a "needs assessment" to guide them in establishing formalized training plans which answer their own unique requirements.
Because of its preeminence in the field of options education, The Options Institute is in a unique position to offer an extensive combination of solutions to answer each firm's responsibilities and needs under the Securities Industry Continuing Education Program. Emphasis has been placed on creating options training which can be incorporated into member firm plans in several ways. All education and training offered by The Options Institute cover the areas required under continuing education guidelines including descriptive information, pricing techniques, risk factors, and factors affecting an option's liquidity, callability, convertibility, and suitability.
Each member firm has unique needs, and the Institute can offer a broad array of resources to customize training and offer a comprehensive solution to a complex problem. Live classroom delivery, written material and computer-based education are all available to assist retail brokers, supervisors and other "covered" personnel in developing and maintaining adequate options knowledge while meeting the industry guidelines for continuing education. The Options Institute would welcome the opportunity to work with you and your firm to create a solution tailored to your specific continuing education requirements.