Information Notice - 10/23/09

Continuing Education Planning

On October 23, 2009, the Securities Industry/Regulatory Council on Continuing Education (the Council) released the semi-annual Firm Element Advisory (see Regulatory Notice 09-61). The Council 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 that the Council has outlined in the Firm Element Advisory. These may be suitable for Firm Element training and are available on demand through

FINRA's training resources are offered in several formats and are available for free or a nominal charge:

  • Podcasts: Short audio recordings on specific targeted topics, which can be heard online or downloaded to a portable media player (see
  • Webcasts: Online streaming video presentations that take about 10 minutes to watch; monthly completion tracking reports are available (see
  • E-Learning Courses: More in-depth online training featuring assessment tests, scenarios, real-time completion tracking and certificates of completion (see