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 searchNon-member scenario search

 

 

 Per-User Pricing
Purchase OptionFINRA FirmsNon-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.