Securities Firm Element

FINRA — mapped mechanically, receipts included

Yardstick: FINRA Rule 1240(b) — Continuing Education: Firm Element (as amended through SR-FINRA-2024-006 (eff. 2024-04-30))

For FINRA member firms' training plans. Send one course and ProveStead maps it against the published requirements — every finding keyed to the standard's own locator, every training-plan element recomputed from the materials, and an honest "not evaluable" where the materials can't prove it either way.

The credit math, recomputed

no credit-hour formula — conformance is judged on the written plan itself
We checked the Firm Element program package for the structural elements FINRA Rule 1240(b) names — a documented needs analysis, a written training plan, covered-person scope, role/professional-responsibility topic coverage, other-training credit limited to what the rule allows, and content/completion recordkeeping — and mapped each element to its rule locator. Firm Element has no credit-hour formula, so there is no credit recompute; conformance here is plan structure, not hours.

Your Firm Element program plan may be structurally incomplete — that's the headline check. If the numbers in your materials don't support the training-plan elements you award, the report says so, with the arithmetic shown.

Honest scope

Our Class-B catalog for this standard carries 8 requirement records — locators, headings, and our own paraphrases (never the standard's text). 5 are assessable from course materials; the rest are provider-process requirements (your records, oversight, and procedures) which the report marks not_evaluable — never guessed, never faked.

  • Every finding carries the standard's locator and recomputable arithmetic.
  • Absent input is reported as absent — a missing fact is never scored against you.
  • The deliverable is an audit-ready evidence file you can hand to a reviewer.
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No approval implied. It implies no FINRA review, approval, or endorsement of this Firm Element program: this report maps the firm's program package against the published requirements of FINRA Rule 1240(b) mechanically and is not a compliance determination. FINRA holds final authority over the interpretation and enforcement of Rule 1240, and the member firm remains responsible for its continuing-education obligations.

Source: FINRA Rule 1240(b) — Continuing Education: Firm Element, edition as amended through SR-FINRA-2024-006 (eff. 2024-04-30). Catalog last verified 2026-07-04. ProveStead stores locators and its own paraphrases only — never the standard's text.