Information Notice - May 20, 2009
Continuing Education Planning
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 www.finra.org.
FINRA's training resources are offered in several formats and are available for free or a nominal charge:
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