Regulatory Notice 08-63

Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update

Executive Summary

This Notice advises firms of the fourth-quarter 2008 Securities Industry/Regulatory Council on Continuing Education Firm Element Advisory (FEA), which identifies regulatory and sales practice topics that firms should consider in their Firm Element training plans. Topics updated or added since the prior FEA are indicated in the document as such.

 

The updated Firm Element Advisory is available at www.cecouncil.com/publications/council_publications/FEA_Semi_Annual_Update.pdf.

 

Questions concerning this Notice should be directed to:

 

  • cecounciladmin@finra.org;
  • Joseph Sheirer, Director, Continuing Education, FINRA, at (646) 315-8691; or
  • Roni Meikle, Director, Continuing Education, FINRA, at (646) 315-8688.