Regulatory Element Program Scenarios
FINRA's e-learning library contains a collection of material taken directly from the Continuing Education Regulatory Element Programs. This grouping of over 60 e-learning scenarios (formerly available as netCEP) can be used as part of a Firm Element training plan and also may be helpful when preparing for the Regulatory Element continuing education requirement.
The scenarios, offered in text, audio and video formats, reflect current industry rules and regulations but are no longer active in the CE Regulatory Element. 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.
Login for returning netCEP users.
Purchase Options
Purchase this library at a FINRA-member rate of $25.00 per user, or at a non-member rate of $100.00 per user.
- Individual Purchase
- Group Purchase
Group purchases include reporting capabilities for a designated training manager at your firm. The reports are useful for tracking employee progress, managing user profiles and reporting on post-course assessment performance.
Note: A user name and password will be emailed within 48 hours of receipt of payment.
E-Learning Refund Policy
Refunds for courses not yet completed will be granted if the request is received in writing within 90 days of purchase date. We regret that refunds will not be granted for course(s) that have been completed.
Your use of Regulatory Element Program Scenarios signifies that you accept our terms and conditions of use.
