Compliance Training Management
Start with 26 pre-built training lessons — provisioned to match your registration — or build your own. Assign, track, and certify training across your entire firm — from annual compliance reviews to custom firm-specific content, all from a single dashboard.
Unlimited
Modules
Role-based
Assignments
Built-in
Completion Tracking
Training Gaps Are Among the Top Exam Findings
Regulators consistently cite inadequate training programs as a deficiency.
SEC and FINRA examiners expect firms to demonstrate that employees received relevant, timely compliance training and that the firm can prove it. Calendar reminders and shared drives are not sufficient. You need a system that assigns, tracks, and documents every training interaction.
How It Works
From content creation to certified completion
Build Training Modules
Create training content directly in the platform. Upload documents, define learning objectives, and structure modules for your team.
Assign by Role or Team
Target training to specific roles, departments, or individuals, and set due dates and a passing score.
Track Progress
Monitor completion rates across the firm. Automated reminders notify overdue employees before deadlines pass.
Quizzes & Certificates
Employees take a quiz tailored to their SEC or FINRA registration and earn a timestamped completion certificate when they pass.
Key Capabilities
Complete training lifecycle management
26 pre-built training lessons, each with a quiz
Custom lessons: rich-text content with quizzes, or upload PDF, DOCX, PPTX
Progress tracking dashboards
Timestamped completion certificates (earned by passing the quiz)
Role-based training assignment and scheduling
Registration-aware quizzes (SEC, FINRA, or dual)
Automated reminders for overdue training
Training history and exam-ready reports
Regulations Covered
Meet training obligations across regulatory frameworks
26 Pre-Built Training Lessons
Ready-to-deploy compliance training written by experienced CCOs
Annual Compliance Review
Rule 206(4)-7
SEC Marketing Rule Compliance
Rule 206(4)-1
Cybersecurity and Regulation S-P Compliance
Reg S-P Rule 248.30(a)
Privacy and Customer Information Protection
Regulation S-P
Identity Theft Red Flags (Regulation S-ID)
Reg S-ID Rule 248.201
Code of Ethics and Personal Trading
Rule 204A-1
Insider Trading Prevention
Advisers Act §204A
Gifts, Entertainment, and Political Contributions
Rule 206(4)-5
Outside Business Activities and Outside Accounts
Form ADV Part 2B / Form U4
Books and Records Requirements
Rule 204-2
Electronic Communications and Off-Channel Messaging
Rule 204-2(a)(7)
Business Continuity Planning
Rule 206(4)-7 guidance
Vendor and Service-Provider Oversight
Reg S-P Rule 248.30(a)(5)
Handling Client Complaints
Rule 204-2(a)(7)
Senior and Vulnerable Investors
Senior Safe Act / FINRA 2165
Client Asset Protection: Custody, Transfers, and Wire Fraud
Rule 206(4)-2
Fiduciary Duty and Suitable Advice
Advisers Act §206
Retirement Rollovers and PTE 2020-02
DOL PTE 2020-02
Advisory Fees and Billing Accuracy
Advisers Act §206 / ADV Item 5
Supervision for Supervisors
Advisers Act §203(e)(6) / FINRA 3110
Whistleblower Rights and Anti-Retaliation
Exchange Act Rule 21F-17
Anti-Money Laundering and OFAC for Investment Advisers
FinCEN IA AML Rule / OFAC
Advertising Rules for State-Registered Advisers
NASAA Model Rule
AML/BSA Compliance
FINRA Rule 3310
Regulation Best Interest (Reg BI)
Exchange Act Rule 15l-1
Communications with the Public (FINRA Rule 2210)
FINRA Rule 2210
Every lesson includes learning objectives, real regulatory content, and a quiz tailored to your SEC or FINRA registration. Your firm is provisioned the lessons that apply to its registration.
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