Regulatory Notice 14-16

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

The Securities Industry/Regulatory Council on Continuing Education (Council) has released its Spring 2014 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: http://cecouncil.com/Documents/FEA_Semi_Annual_Update.pdf.

 

The FEA topics are not exhaustive and are intended as a guide to firms when they determine what to include in their training plans. Firms should consider the specific nature of their business, clients, products and services when creating their training plans.

 

Previous editions of the FEA, as well as a matrix indicating the topics covered in those editions, are available at the Council’s website at www.cecouncil.com.

 

Questions concerning this Notice should be directed to: