Regulatory Notice 16-35

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

The Securities Industry/Regulatory Council on Continuing Education (Council) has released the Firm Element Advisory (FEA) in a new online format. The FEA, which was previously released semi-annually in document format, will now be available on the web at http://cecouncil.com/firm-element/. The new web format provides easier access to relevant notices and resources about the specified subjects and will be updated quarterly to keep it current and relevant. The categories are expandable and may contain additional information about suitability, supervision and educational resources.

The Council produces the FEA to identify regulatory and sales practice topics that firms should consider when conducting their needs analysis and developing their Firm Element written training plans. However, firms are reminded that they should not rely on the FEA as a comprehensive list of all areas they should consider. Firms should also 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 historical matrix indicating the topics covered in those editions, will continue to be available at the Council’s website at www.cecouncil.com.

Questions concerning this Notice should be directed to:

  • CE Council Admin; or
  • Roni Meikle, Director, Continuing Education, FINRA, at (212) 858-4084.