Information Notice - May 20, 2009

Continuing Education Planning

Executive Summary

On May 19, 2009, the FINRA released the semi-annual Firm Element Advisory (see Regulatory Notice 09-26). FINRA suggests that firms consult the Firm Element Advisory when developing their Firm Element training needs analysis.


FINRA offers a range of online training resources that address many of the topics outlined in the Firm Element Advisory. These may be suitable for Firm Element training and are available on demand through


FINRA's training resources are offered in several formats and are available for free or a nominal charge:


  • Podcasts: Short audio recordings on specific targeted topics, which can be heard online or downloaded to a portable media player (see
  • Webcasts: Online streaming video presentations that take about 10minutes to watch; monthly completion tracking reports are available (see
  • E-Learning Courses: More in-depth online training featuring assessment tests, scenarios, real-time completion tracking and certificates of completion (see