Regulatory Element Training Resources

The following resources are available to help registered representatives prepare for the S101, S106 and S201 Continuing Education Programs.

 

Regulatory Element Programs

The Regulatory Element Programs include updated content presented in an interactive format. Registered representatives should review the resources on this page to prepare for their sessions. 

On January 2, 2012, FINRA implemented a redesigned version of the S201 Regulatory Element Program in an effort to improve the Continuing Education Program to keep it current and relevant. Individuals who schedule a S201 session on or after January 2 will see the redesigned program, which includes new story-based cases and an updated user interface. Two key changes to the program are:

• individuals must demonstrate their proficiency in the content of each case in order to successfully complete a module; and
• scenarios will no longer be full-length video sessions - the new program will include written story-based cases.

 

• Content Outlines – Provides information regarding each program’s structure (e.g., presentation, assessment, timing) and content including, common topics that may be covered in the modules.
  • S101 Content Outline
  • S106 Content Outline
  • S201 Content Outline

The Orientation and Sample Case materials are designed to familiarize candidates with the user experience, new functionalities, and navigational features for all redesigned Programs. The features detailed in these training materials are utilized across the S101, S106, and S201 Programs.

• Orientation for the Regulatory Element Programs – Reviews the format and navigation functions of the redesigned programs.
• Sample Case – An abbreviated sample case that demonstrates the interactive format and types of activities of the redesigned Regulatory Element Programs.

Please Note: The recommended screen resolution for viewing the Orientation and Sample Case is 1280 x 1024 or higher. The required minimum is 1024 x 768. If the navigation buttons in the orientation or sample case below are missing, use the full screen mode by pressing the F11 key on most browsers.

 

Regulatory Element Resources

FINRA’s Retired Regulatory Element Program Scenarios are a collection of scenarios taken directly from the legacy Regulatory Element Program*, which registered representatives can access for a fee. The scenarios reflect industry rules and regulations but are no longer active in the CE Regulatory Element. The scenarios can be used for preparing to take the Regulatory Elements as they depict situations in which current regulatory or compliance issues arise and include interactive questions that help to teach applicable industry rules and regulations. They focus on specific products (such as variable annuities and mutual funds) as well as concepts (including supervision, outside business activities, communications with the public and suitability). Select scenarios cover institutional situations, while others address situations that occur in a retail environment.

 

* Please note: The content structure and display format of the current Regulatory Element Program (S101/S106 revised as of January 4, 2010 and S201 revised as of January 2, 2012) is different than the legacy program content provided in the E-Learning Library; however, the topics and concepts contained in the library of scenarios are still relevant and useful educational material.