Q: How do we create a comprehensive learning path for an employee transitioning into a broker-dealer or RIA support role?

Gurukul On Road uses the R.E.G.U.L.A.T.E.™ Framework Framework to map regulatory knowledge, process skills, and communication competence. Paths include foundational U.S. regulatory modules, FINRA/NASAA exam prep (SIE, Series 7, 63, 65), case-based learning, and live mock reviews - fully contextualized for offshore BPO/KPO support teams.

Question 1

Can our employees take FINRA exams from India?

Accepted Answer

Yes. All FINRA qualification exams - including the Securities Industry Essentials (SIE), Series 6, Series 7, Series 24, Series 63, Series 65, and Series 66 - can now be taken from India at authorized Prometric and Pearson VUE test centers. While remote online proctoring is not permitted outside the U.S., these physical test center options make it easier for offshore teams to become FINRA - certified.
Gurukul On Road supports your employees with:
SIE, Series 6, 7, 24, 63, 65, and 66 exam prep programs
Mock tests aligned with FINRA blueprints,
CRD system training and Form U10 onboarding guidance
and Step-by-step test scheduling support.
This makes your India-based workforce certification-ready for U.S. financial services projects.

Question 2

How do you customize the training for our specific needs?

Accepted Answer

At Gurukul On Road, every training program is built to reflect your unique business process, client expectations, and compliance responsibilities. Whether you're supporting U.S. broker-dealer onboarding, RIA back-office, AML checks, or SEC filings, we customize the curriculum using:
Job-role-based content aligned with Series 6, 7, 24, 63, 65, and 66,
SCORM/xAPI LMS delivery using your SOPs,
Use-case simulations with escalation workflows,
Dashboards and analytics integration for internal tracking.
Training is contextualized for both India and Philippines-based teams to align with U.S. regulatory frameworks.

Question 3

What is your success-based billing model?

Accepted Answer

Our Success-Based Billing Model ensures you pay only when results are achieved. Designed for BPOs and GCCs preparing for U.S. financial services delivery, this model includes:
No upfront per-head training charges,
Billing linked to training completion + post-assessment performance,
Goal-based billing (e.g., SIE/Series 7 mock test pass, CE compliance),
Maximum batch size of 15 for each success-based training cohort.
This model reduces risk and aligns training investment with measurable ROI and delivery outcomes.

Question 4

What is the ideal batch size for corporate training?

Accepted Answer

While we can accommodate flexible group sizes, the ideal batch size for high-impact corporate training -especially under the Success-Based Billing Model -is 10 to 15 participants.
This allows for:
Deep engagement through live simulations and compliance case handling,
Personalized mentoring for Series 6/7/24 readiness,
Stronger peer interaction and trainer feedback loops.
For larger organizations, we offer multi-cohort rollouts with centralized LMS progress tracking and manager access controls.

Question 5

Most of our business runs at night shift. How does Gurukul On Road align with this?

Accepted Answer

We understand that most broker-dealer support, RIA operations, and regulatory compliance roles in India and the Philippines operate on U.S. time zones. Our lead trainers already worked for years in similar environment. To accommodate this:
We provide schedule Training session as per end client time zone,
Offer access to LMS-based self-paced learning for in-shift flexibility,
Support weekend and hybrid formats for high-volume delivery teams,
Offer option for Virtual Instructor-Led Training (VILT).
Training programs are fully aligned with U.S. regulations, time zone and do not disrupt client SLAs.

Question 6

Do you provide onsite training?

Accepted Answer

Yes. Gurukul On Road offers both onsite classroom training (India only) and Virtual Instructor-Led Training (VILT for teams in India and the Philippines. Our delivery options include: Onsite bootcamps for Series 6/7/24 training in Indian metro cities, Live virtual sessions tailored for night-shift offshore teams, Hybrid programs combining e-learning + instructor sessions. All sessions are led by industry experts and aligned with FINRA, SEC, NAIC, and OCC training frameworks.

Question 7

What certifications are essential for setting up FINRA-aligned delivery teams?

Accepted Answer

Key exams include Securities Industry Essentials (SIE), Series 6, Series 7, Series 24, Series 63, Series 65, and Series 66. At Gurukul On Road, we build contextual, job-role-aligned training journeys to ensure teams in India and the Philippines are certification-ready for U.S. client assignments across broker-dealer and investment advisory operations.

Question 8

What is the ROI of certifying staff in FINRA/NASAA exams (SIE, Series 7, etc.) before they are assigned to U.S. client projects?

Accepted Answer

Certifying staff in FINRA/NASAA exams significantly accelerates billable readiness, minimizes regulatory risks, and enhances client confidence from day one. Organizations typically see 30–50% faster onboarding, increased win rates in U.S. financial RFPs, and improved compliance posture during audits and reviews.
With Gurukul On Road’s Success-Based Billing Model, ROI is not just promised - it’s measured. Our proprietary Identify–Upskill–Retain framework creates a future-ready, regulation-aligned workforce that’s primed for delivery excellence in the highly governed U.S. financial sector

Question 9

What is the most effective and scalable method for delivering corporate training for the full range of U.S. financial exams?

Accepted Answer

Our hybrid delivery model combines in-person (India), VILT (India + Philippines), and eLearning modules aligned to the FINRA blueprint. We offer group-based training, 1-on-1 mentoring, and SCORM/xAPI modules - scalable across all FINRA/NASAA certifications including SIE, Series 6, 7, 24, 63, 65, and 66 - with built-in assessments and LMS dashboards.

Question 10

How do we create a comprehensive learning path for an employee transitioning into a broker-dealer or RIA support role?

Accepted Answer

Gurukul On Road uses the R.E.G.U.L.A.T.E.&#8482; Framework Framework to map regulatory knowledge, process skills, and communication competence. Paths include foundational U.S. regulatory modules, FINRA/NASAA exam prep (SIE, Series 7, 63, 65), case-based learning, and live mock reviews - fully contextualized for offshore BPO/KPO support teams.

Question 11

How can we develop custom, SCORM-compliant e-learning modules and mock exams aligned with FINRA blueprints?

Accepted Answer

Our SME-led content team specializes in creating SCORM and xAPI-aligned learning modules tailored to FINRA, SEC, and NASAA exam blueprints. Each module is enriched with real-world U.S. regulatory scenarios and compliance use cases, ensuring practical relevance for broker-dealer, RIA, and financial operations teams. We offer:
Custom mock tests modeled on FINRA exam patterns (e.g., SIE, Series 7, Series 24),
Role-based adaptive assessments for onboarding and upskilling,
Branded, LMS-ready content designed for smooth integration.
While we do not directly produce SCORM packages, we support your team by:
Providing open-format, editable content compatible with any authoring tool (Articulate, Adobe Captivate, etc.),
Facilitating collaboration with trusted SCORM/xAPI developers for final packaging.
This approach ensures flexibility, control, and cost-efficiency for BPOs, GCCs, and L&D teams preparing for U.S. financial compliance projects.

Question 12

How do we measure the applied knowledge of our teams to ensure they understand the rulebook and not just the process task?

Accepted Answer

Gurukul On Road uses dual-mode assessments: conceptual tests that assess FINRA/SEC regulatory reasoning, and operational simulations that mirror client workflows. We include verbal audits, escalation walkthroughs, and error-flagging drills to validate applied knowledge across U.S. financial functions.

Question 13

What is the best way to manage and track FINRA Firm Element and Continuing Education requirements for offshore teams?

Accepted Answer

We offer CE-aligned microlearning modules and LMS-integrated trackers. Gurukul On Road supports calendarized nudges, audit-ready logs, and blended learning formats to ensure annual Firm Element compliance across SIE, Series 7, 24, 63, and 65 functional roles.

Question 14

What pre-screening assessments can help us identify talent with the aptitude for passing FINRA exams?

Accepted Answer

Our FINRA-aligned Readiness Assessments are built to benchmark global talent against U.S. financial regulatory standards. Designed specifically for BPOs, GCCs, and offshore financial service providers, these assessments evaluate:
Regulatory logic and compliance mindset,
U.S. financial terminology comprehension,
Numerical aptitude and scenario-based decision making.
Each assessment is mapped directly to FINRA SIE and Series 7 learning outcomes, ensuring alignment with real-world broker-dealer operations.
We go further by mapping select questions to Indian and Philippines regulatory frameworks - such as SEBI (India), BSP/SEC (Philippines) - to assess a candidate’s comparative regulatory understanding. This allows HR, L&D, and Operations Heads to identify the regulatory adaptability of talent transitioning from local compliance roles to U.S.-centric projects.
Integrated into our proprietary Identify–Upskill–Retain™ model, these assessments are an essential part of our scalable U.S. regulatory workforce transformation solution- enabling smarter hiring, targeted training, and long-term retention of FINRA-ready teams.

Question 15

Should we offer Series 24-level training to our internal team leaders to ensure strong supervisory alignment with U.S. clients?

Accepted Answer

Yes, Series 24 training is essential for supervisory and leadership roles in broker-dealer operations - and it requires SIE and Series 7 as prerequisites. The Series 24 General Securities Principal Exam is designed for team leads and operational managers overseeing U.S. broker-dealer functions such as:
U4/U5 filings and agent onboarding,
Blotter review and escalation protocols,
Trade exception reporting and process control oversight and more.
At Gurukul On Road, we deliver Series 24 training as part of a structured leadership readiness track, combining:
FINRA exam-aligned mock tests and diagnostic prep,
Role-based workshops for offshore team leads in GCCs, BPOs, and KPOs.
Whether you're building a supervisory layer in a broker-dealer support team or preparing operations staff for outsourced compliance functions, our Series 24 pathway ensures you're aligned with FINRA’s standards -starting with SIE and Series 7 training as the foundation.

Question 16

How do we blend technical compliance training with the soft skills required to meet U.S. client expectations?

Accepted Answer

Our programs integrate compliance rulebooks with roleplays, escalation drills, and client simulation labs. We blend Series 7/24 exam prep with email etiquette, compliance tone, cultural sensitivity, and reflective learning to build not just qualified, but client-ready talent for U.S. outsourcing partnerships.

Question 17

How do we efficiently manage the volume of Form U4 amendments and CRD updates during peak onboarding?

Accepted Answer

Managing Form U4 amendments efficiently requires process automation, regulatory literacy, and SLA-driven workflow design. At Gurukul On Road, we train offshore teams to handle Form U4 lifecycle events through SOPs, role-based mock drills, and FINRA CRD system walkthroughs. Our U4 onboarding programs, tailored for India and Philippines teams, ensure regulatory compliance with minimal errors during volume spikes.

Question 18

How do we review Form U5 termination language to reduce reputational and compliance risk?

Accepted Answer

U5 filings, if mishandled, can trigger audits. We train teams to flag sensitive phrases, use proper termination codes, and maintain consistency across internal and regulatory records. Our Series 24-aligned supervisory content enables team leads to escalate at-risk cases early. Gurukul On Road&#8217;s programs also include template language, dual-check workflows, and audit log training for global delivery teams.

Question 19

How do we ensure our AML/KYC reviews align with U.S. CIP rules and red flag detection?

Accepted Answer

Gurukul On Road delivers AML and KYC modules that decode CIP compliance, beneficial ownership protocols, and OFAC screening. Teams are trained to recognize red flags like structuring, third-party funding, or inconsistent identities. We simulate SAR escalation workflows and build custom e-learning pathways for broker-dealer and RIA support functions in both India and the Philippines.

Question 20

What patterns should teams identify in blotter reviews, and how should exceptions be handled?

Accepted Answer

Patterns like churning, layering, and spoofing must be flagged with rationale and escalation notes. Our Trade Surveillance programs teach teams how to detect anomalies in blotter data and document cases with FINRA audit traceability. We include interactive exercises using mock trade logs and best-execution case studies mapped to FINRA Rule 5310.

Question 21

What is required to ensure offshore portfolio suitability reviews meet FINRA Rule 2111?

Accepted Answer

Suitability checks require accurate client profiling, use of suitability matrices, exception flagging, and dual-review signoff. Our programs teach inputs like investment objectives, time horizon, and liquidity needs. Gurukul On Road integrates this with Series 7-aligned content, helping offshore teams simulate advisor-support roles for U.S. wealth management firms.

Question 22

How can we implement effective surveillance for email, chat, and social media without overflagging?

Accepted Answer

Gurukul On Road builds surveillance capability using keyword libraries, tone-check logic, and response protocols. Teams learn to tag only actionable phrases and avoid false positives. We also teach compliance with SEC&#8217;s off-channel communication guidance, WORM storage protocols, and routine sample reviews under FINRA Rule 3110 supervision.

Question 23

What are the key challenges and handoffs in offshore support for SEC filings like 10-K, 13F, Form ADV?

Accepted Answer

Offshore teams face challenges in EDGAR formatting, time zone deadlines, and draft versioning. Our SEC Filing Enablement Program maps the workflow from U.S. legal team to offshore processing. We train staff on compliance for Form ADV updates, Rule 204-2 documentation, and version control aligned to SEC expectations.

Question 24

How do we ensure offshore recordkeeping meets SEC Rule 17a-4 for chat and communications?

Accepted Answer

Our training covers SEC Rule 17a-4's WORM standards, retention timelines, and email/chat archiving processes. Gurukul On Road supports policy design, documentation format training, and mock audit prep to ensure that offshore teams are audit-ready and fully compliant with record retention laws.

Question 25

How can offshore teams support client supervisory frameworks under FINRA Rule 3110?

Accepted Answer

Supervision requires clear delegation, escalation matrixes, and evidence-based reporting. We offer Series 24-aligned content to help team leads document reviews, manage exceptions, and maintain time-stamped logs. Our programs include mock inspections and audit preparation tailored to U.S. broker-dealer models.

Question 26

How do we train teams to handle regulatory complaints and reportable incidents under FINRA Rule 4530?

Accepted Answer

Complaint handling training focuses on escalation timing, documentation language, and routing protocols. Gurukul On Road delivers 4530 scenario workshops and checklist. Teams learn to identify complaints, report incidents, and audit complaint lifecycle across business units and time zones.

Question 27

How can we position our GCC/BPO as a 'FINRA-aligned' delivery center to improve our win ratio in RFPs?

Accepted Answer

Positioning your BPO/KPO as a 'FINRA-aligned delivery center' means moving from a transactional vendor to a regulatory-compliant partner. Gurukul On Road enables this through workforce training mapped to SIE, Series 6, 7, 24, 63, 65, and 66 exams. Our branded dashboards, SOP-aligned workflows, and U.S.-style audit trails allow you to showcase compliance-readiness in every RFP response. This improves trust, reduces onboarding time, and aligns your pitch with what U.S. broker-dealers actually prioritize.

Question 28

What is the most effective way to prove our knowledge of operational and compliance concepts (e.g., Series 7, 99 etc) in RFPs and pitch decks?

Accepted Answer

Clients expect domain fluency, not just headcount. Gurukul On Road enables you to showcase FINRA Series -aligned knowledge across trade reconciliation, reporting, and recordkeeping. We help you drafting inclusion to pitch decks like: assessment results, compliance org charts, sample SOPs, and mock trade review outputs. Demonstrating operational maturity aligned to FINRA rules builds credibility and sets your firm apart from cost-only bidders.

Question 29

What due diligence questions are U.S. broker-dealers asking, and what content helps us win their trust?

Accepted Answer

Today's due diligence includes: &#8220;How do you handle U4 amendments?&#8221;, &#8220;How do you ensure compliance with FINRA Rule 2111?&#8221;, &#8220;Do you support 17a-4 recordkeeping?&#8221; and &#8220;Can you manage SEC filings like Form ADV or 13F offshore?&#8221; We help you prepare with: mock audit logs, escalation matrices, knowledge dashboards, and video walk-throughs of your process controls. Gurukul On Road enables your delivery leaders to speak the language of regulatory compliance -not just operations.

Question 30

What is the most compelling value proposition for a U.S. firm to outsource its broker-dealer or RIA operations to us?

Accepted Answer

The strongest and only value proposition is this: "We are not just a vendor; we are your FINRA-compliant delivery partner." Gurukul On Road powers this claim with exam-ready staff, SOPs aligned to U.S. rules, success-based billing, and white-label training support. From onboarding to regulatory reporting, your clients gain a plug-and-play delivery unit that knows the rulebook and speaks their language -backed by measurable training and supervision frameworks.

Question 31

How can we use mock test pass rates and staff training data to showcase capability during pre-sales?

Accepted Answer

Gurukul On Road provides detailed dashboards with SIE/Series 7 mock pass rates, domain scores (e.g., AML, trade handling, disclosures), and readiness indicators. These can be shared in proposals or live demos to clients. Embedding &#8220;Training ROI&#8221; graphs into pitch decks -showing measurable improvement pre- and post-training. This proves readiness, reduces perceived risk, and signals maturity.

Question 32

Can we offer white-labeled FINRA training solutions under our client&#8217;s brand?

Accepted Answer

Yes. Gurukul On Road offers white-labeled e-learning suites, VILT delivery, and printed assets -all aligned to SIE, Series 6, 7, 24, 63, 65, and 66 blueprints. We tailor content with your client&#8217;s brand elements, domain-specific SOPs, and performance tracking. This allows you to offer &#8220;in-house compliance academies&#8221; to clients without building from scratch -adding value, revenue, and long-term retention.

Question 33

What keywords, certifications, and capabilities help secure U.S. financial services projects?

Accepted Answer

Essential keywords: &#8220;SIE exam-ready talent,&#8221; &#8220;Series 7 certified,&#8221; &#8220;SEC 17a-4 compliant records,&#8221; &#8220;Form U4/U5 SLA handling,&#8221; &#8220;FINRA CE tracking dashboards,&#8221; &#8220;SEC 13F/ADV offshore support.&#8221; Pair these with verifiable certifications, training scores, SOP samples, and audit reports. Gurukul On Road gives you the capability and the vocabulary to compete and win in U.S. RFPs.

Question 34

How do we design and document a supervisory control system that meets FINRA/SEC requirements in an outsourced model?

Accepted Answer

Gurukul On Road helps you implement supervisory control systems aligned with FINRA Rule 3110 and SEC expectations. This includes supervisory matrices for U.S.-India-Philippines collaboration, Series 24-aligned workflows, audit-ready logs, and mock inspection readiness. We support SOP creation and conduct VILT sessions for supervisory roles in compliance-sensitive functions like Form U4/U5 processing, suitability review, and blotter exception handling.

Question 35

What are the key risks of outsourcing financial functions to an Indian BPO, and how are third-party oversight controls implemented effectively?

Accepted Answer

U.S. firms rightly prioritize regulatory compliance, data security, and operational accountability when outsourcing financial services. Key risks in such engagements include:
Regulatory non-compliance (e.g., SEC or FINRA breach due to local process gaps),
Service-level failures impacting time-sensitive filings or onboarding,
Cybersecurity threats in cross-border data handling,
Ineffective escalation or exception handling for regulatory events (e.g., Form U4/U5 changes).
At Gurukul On Road, we work hand-in-hand with Indian BPOs and GCCs to help them build a FINRA-compliant delivery ecosystem through the following controls:
Implementation of SEC-aligned third-party oversight frameworks, including vendor risk documentation, role-based responsibility matrices, and real-time reporting mechanisms,
Setup of dual-control SLA systems, with audit logs, compliance checkpoints, and exception trackers to ensure delivery assurance,
Deployment of custom escalation SOPs tailored to U.S. broker-dealer operations for events like CRD updates, U4/U5 transitions, or AML alerts,
Guidance on BCP (Business Continuity Planning) to meet FINRA’s business disruption rules and maintain operational resilience.
Further, our training solutions embed compliance risk intelligence directly into process learning -from AML/KYC review protocols to supervisory controls for SEC filings -ensuring your offshore teams are audit-resilient, exam-informed, and regulation-ready at all times..

Question 36

What processes should we automate vs. train for in FINRA-aligned offshore delivery?

Accepted Answer

Automate standardized, low-risk tasks like keyword email flagging, U4 form validations, or EDGAR formatting. Train for interpretive, judgment-based tasks like suitability reviews, complaint handling, U5 drafting, and SAR escalation. Gurukul On Road helps design these process splits while ensuring AI-enabled tools follow regulatory logic and auditability standards.

Question 37

How do we mitigate cybersecurity risks and align with U.S. data privacy standards?

Accepted Answer

Gurukul On Road trains your teams on cybersecurity aligned with SEC Regulation S-P, CCPA principles, and FINRA&#8217;s guidelines for remote work and data protection. This includes policies for device security, cloud-based collaboration, off-channel communication restrictions, and chat/email archiving under Rule 17a-4. We also deliver breach simulation labs to test real-time response preparedness.

Question 38

How can we simulate training on systems like FINRA&#8217;s CRD without using live credentials?

Accepted Answer

Gurukul On Road offers CRD process simulations using mock screen walkthroughs, and zero-data mock forms. Training modules mimic workflows like Form U4/U5 updates, fingerprinting, and license tracking -ensuring no sensitive client or regulatory access is used during training. This supports regulatory security while building functional readiness.

Question 39

What kind of audits, testing, and exception tracking should we maintain to prove process integrity?

Accepted Answer

We recommend quarterly FINRA-style supervisory audits, ongoing exception log reviews (e.g., flagged trades, delayed filings), complaint lifecycle audits, and CE completion dashboards. Gurukul On Road supports this with testing frameworks, supervisor checklists, and inspection-ready documentation, making your offshore setup ready for any U.S. client audit or walkthrough.

Question 40

How do we create a genuine culture of compliance -not just a checkbox-based delivery model?

Accepted Answer

Culture begins with mindset. Gurukul On Road&#8217;s programs integrate compliance KPIs into team performance, celebrate proactivity (e.g., correct flagging, red-flag escalation), and use reflective sessions on real-case breaches. Our &#8220;Compliance Champions&#8221; model equips mid-level leaders with Series 24-aligned soft skills to guide their teams beyond tick-box thinking.

Question 41

How do we ensure our SMEs stay updated on FINRA/SEC regulatory changes and embed them into daily operations?

Accepted Answer

At Gurukul On Road, we bridge the compliance gap by ensuring Subject Matter Experts (SMEs) are not only updated but also empowered to translate regulatory change into operational readiness. Our approach includes:
Monthly Regulatory Intelligence Bulletins covering critical updates from FINRA, SEC, and related bodies -including changes to rules like Rule 2111 (Suitability), Form CRS, and Section 13F filings.
Impact Mapping Workshops to help SMEs understand how new or amended rules affect their specific workflows, supervisory obligations, and documentation standards.
Real-time updates and knowledge hubs via our official site www.GurukulOnRoad.com -aligned with U.S. broker-dealer and advisory operations.
We also offer customized process-specific regulatory trackers for BPOs, GCCs, and KPOs -enabling your operations, compliance, and QA teams to stay in sync with live U.S. expectations.
Our commitment goes beyond training -we aim to co-own your compliance excellence, adapt with you as regulations evolve, and celebrate each milestone together as strategic partners in global delivery.

Exam	Full Title	Primary Audience
SIE	Securities Industry Essentials Exam	Entry-level professionals entering the U.S. securities industry. Great for onboarding in India & Philippines.
Series 6	Investment Company and Variable Contracts Products Representative Exam	For those who sell mutual funds, annuities, and related products.
Series 7	General Securities Representative Exam	Professionals handling a wide range of securities—ideal for broker-dealer support teams.
Series 24	General Securities Principal Exam	Supervisors and leads managing broker-dealer staff and regulatory compliance.
Series 63	Uniform Securities Agent State Law Exam	Required for client interaction across U.S. states along with FINRA exams.
Series 65	Uniform Investment Adviser Law Exam	Advisers providing portfolio advice for a fee. Required for RIA support functions.
Series 66	Uniform Combined State Law Exam	Combines Series 63 & 65 for dual advisory roles. Common for hybrid professionals.
Series 99	Operations Professional Exam	Back-office and middle-office staff in custody, fund processing, and trade support.

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U.S. Regulatory Compliance Training for BPOs, KPOs & GCCs in India & Philippines

Expert-led FINRA, SEC, NAIC, OCC & FDIC Training for Global Finance Support Teams Build a Globally Certified Workforce with our Proprietary R.E.G.U.L.A.T.E.™ Framework