Regulatory Notice 09-61

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

Executive Summary

This Notice advises firms of the Fall 2009 Securities Industry/Regulatory Council on Continuing Education Firm Element Advisory, which identifies regulatory and sales practice topics that firms should consider in their Firm Element training plans. Topics updated or added since the spring Advisory are indicated in the document as such.

 

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

 

This Notice also includes resources the Council is making available to help firms with their Firm Element planning.

 

Questions concerning this Notice should be directed to the CE Council; or Roni Meikle, Director, Continuing Education, FINRA, at (646) 315-8688.