Most companies are looking to E-learning to satisfy this requirement. Dearborn has adapted its courses to be delivered over the Internet. The curriculum can be customized to the individual client's internal processes. "We're designing more specific training that identifies what different roles have to do," says Marcia Burak, Dearborn's VP of securities product division.
The Securities and Exchange Commission, the National Association of Securities Dealers, and other enforcement agencies are auditing compliance with the training requirements. For that reason, companies are requesting Internet training and exams that let them track and archive employees' completed training sessions.