Retired Regulatory Element Program Scenarios
Interactive Training on Common Compliance Situations
Retired Regulatory Element Program Scenarios are interactive scenarios that were formerly part of CE Regulatory Element. They depict common situations in which regulatory or compliance issues arise and include interactive questions and exercises.
Note: These programs reflect the industry rules and regulations that were in effect at the time the scenarios were active in Regulatory Element, so users should consult the FINRA Manual for the most up-to-date rules.
Search for Scenarios
| FINRA member scenario search | Non-member scenario search |
| Per-User Pricing | ||
| Purchase Option | FINRA Firms | Non-Member Firms |
| Scenarios Library: One-Year Access to ALL Scenarios | $25 Select the "Scenarios Library" in the FINRA member catalog to purchase | $100 Select the "Scenarios Library" in the catalog to purchase |
| Individual Scenario | $5 Purchase | Search for Scenarios | $20 Purchase | Search for Scenarios |
| Purchasing for a Large Group of Employees (1,500+)? |
| If purchasing a course or courses for 1,500 or more employees, a site license may be the best option. A site license allows you to provide some or all of FINRA’s e-learning courses to an unlimited number of employees for an annual fee. And, you can choose to deliver courses through your firm’s learning management system or through FINRA’s. Call (800) 321-6273 or send us an email to learn more. |