Regulatory Notice 13-14
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 2013 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:
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.
Questions concerning this Notice should be directed to:
- email@example.com; or
- Roni Meikle, Director, Continuing Education, FINRA, at (212) 858-4084.