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...NASD CEP Firm element compliance
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NASD Continuing Education Program:
The NASD mandated continuing education for all of its registered representatives in 1996.  As part of the Firm Element component of this mandated continuing education requirement, each securities firm must develop and administer an ongoing continuing education program to keep it's employees up-to-date on both job related and product related topics. This NASD section of Upstart Raising provides services which help fulfill the Firm element requirement of the CEP for individuals and entire companies.

Upstart Raising Firm Element Program:
Through the Courses tab above, Upstart Raising offers several general courses applicable to the majority of broker-dealers and their covered persons. To complete a course and earn a corresponding certificate of completion:

  1. Select a course covering a specific subject matter from our course list

  2. Read the accompanying course material for your selection

  3. Complete the corresponding multiple choice exam

  4. Record the personalized results identifier provided by our software

  5. Submit the identifier to your compliance officer for verification

It's that easy! You can quickly complete your entire CEP online. Get Started!

Verify previously completed courses:
User's full name as entered upon test completion
Access Code