Information Notice - November 26, 2007

Continuing Education Planning

Executive Summary

In November 2007, the Securities Industry/Regulatory Council on Continuing Education (the Council) released the semi-annual Firm Element Advisory. The Council suggests that firms consult this guide in developing their Firm Element needs analysis.

FINRA’s training resource library includes a range of online offerings that address many of the topics that the Council has outlined in the Firm Element Advisory and may be suitable for Firm Element training.

FINRA online training resources for frontline staff are available in two formats:

  • Webcasts – on-demand streaming video presentations that are generally 10 minutes in length. Webcasts are available at no charge and offer monthly completion tracking.

  • E-Learning Courses – in-depth, 25- to 30-minute online courses with optional post-course assessments. E-Learning courses are available for a nominal charge and offer on-demand completion tracking and course completion certificates.

This Notice outlines the FINRA webcasts and e-learning courses that relate to specific Firm Element Advisory topics. Firms may find these resources useful as they develop their Firm Element training plans.

For more information about FINRA’s online training courses, visit www.finra.org/webcast  and www.finra.org/elearning.