Information Notice - 4/11/14

Continuing Education Planning

On April 11, 2014, the Securities Industry/Regulatory Council on Continuing Education (the Council) released the semi-annual Firm Element Advisory (FEA) (see Regulatory Notice 14-16). The Council suggests that firms consult the FEA when developing their Firm Element training needs analysis.

FINRA offers the following online training resources that address many of the topics that the Council has outlined in the FEA:

  • E-Learning Courses: Online training featuring assessment tests, scenarios, real-time completion tracking and certificates of completion (see
  • Podcasts: Short audio recordings on specific targeted topics, which can be heard online or downloaded to a portable media player (see
  • Webinars: Free live, online video programs that include panel discussions with FINRA staff and/or industry experts, and feature online resource materials (see