SECURITIES REGULATOR Trademark

The Securities Regulator manages a securities firm's compliance requirements and training for both Firm and Regulatory Elements The product encompasses course content, tracking and reporting, and compliance applications It provides the administrator with the ability to conduct annual branch audits, annual assessments for Firm Element and tracking for Regulatory Element training In addition, the administrator can register new registered representatives and administrate existing ones, manage disclosure of outside business activities and accounts, and conduct a comprehensive Online Annual Compliance Meeting These features are all integrated with the NASD's Web CRD database into one Internet-based application to help the firm meets its regulatory requirements and to keep its employees informed about the latest regulatory changes in the industry The product includes-- • Online financial services course library • Update training • Searchable knowledge database • Tracking and reporting available 24/7 via a secure online administration application • Course authoring tool with wizard and authoring functionality • Live online Webcast training • A suite of Supervision and Registration compliance applications integrated with Web CRD These include-- § Annual Online Compliance Meeting § Annual Compliance Meeting Tracker which handles the scheduling and tracking of attendance at the online or classroom-based annual compliance meeting § Annual Assessment which surveys representatives and obtains up-to-date information through an online questionnaire § Branch Audit Manager which allows you to schedule and track complete audits for both the branch and non-registered locations requirement § Online Complaint Manager which tracks customer complaints against firm registered representatives § Disclosure of Outside Business Activities and Outside Accounts § Registration Management, which provides the ability to manage the registration, status changes and termination of, registered representatives § Up-to-date records of registered personnel § Regulatory Element training tracking and scheduling