Regulatory Element Training Resources
The following resources are available to help registered representatives prepare for the S101 and S106 Continuing Education Programs.
S101 and S106 Regulatory Element Programs
As of January 4, 2010, the S101 and S106 Regulatory Element Programs include updated content and a more interactive format. Registered representatives should review the resources on this page to prepare for their sessions.
- S101 and S106 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.
- Animated Orientation for S101 and 106 Programs – Reviews the interactive formats and navigation functions of the redesigned programs.
- Sample Case for S101 and S106 Program – An abbreviated sample case that demonstrates the new interactive format and types of activities of the redesigned S101 and S106 programs.
S201 Regulatory Element Program
This program does not have a formal content outline. It is designed to draw on the experience of the supervisor/principal involving such topics as supervision, suitability, insider trading, money laundering, and interviewing and hiring.
Regulatory Element Resources
FINRA’s E-Learning Library is 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 The scenarios reflect industry rules and regulations but are no longer active in the CE Regulatory Element.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 (revised as of January 4, 2010) 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.
