Regulatory Notice 09-67

Regulatory Element Continuing Education Fees to Increase; Effective Date: January 4, 2010

Executive Summary

Beginning January 4, 2010, the fee for the Regulatory Element of the continuing education requirements of FINRA rules will increase from $75 to $100.1 The fee increase applies to all three Regulatory Element programs: the General Program (S101), the Series 6 Program (S106) and the Supervisors Program (S201). Firms that participate in in-firm delivery of the Regulatory Element will continue to receive a $3 credit to their Central Registration Depository (CRD®) account for the in-firm deliveries they make.

 

The text of the rule amendments is set forth in Attachment A.

 

Questions concerning this Notice should be directed to Roni Meikle, Director, Continuing Education, at (646) 315-8688.