Regulatory Notice 10-20

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

Executive Summary

The Securities Industry/Regulatory Council on Continuing Education (Council) has released its Spring 2010 Firm Element Advisory (FEA). The Council produces the FEA to identify 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 FEA is available at www.cecouncil.com/publications/council_publications/FEA_Semi_Annual_Update.pdf.

 

In addition to the FEA, the Council offers the Firm Element Content Builder (formerly the Firm Element Organizer), a Web-based tool that can assist firms in developing their Firm Element training plans. It enables users to search an extensive database of regulatory resources related to specific investment products or services and is available at www.cecouncil.com/firm_element/organizer.

 

Questions concerning this Notice should be directed to:

  • the CE Council; or
  • Roni Meikle, Director, Continuing Education, FINRA, at (646) 315-8688.