The Senior Leader Regulatory Element Interim Program provides eligible senior leaders with an optional way to satisfy the Regulatory Element requirement during the interim program period. Firms that wish to participate should complete and submit the Request to Participate Form. Once FINRA receives the form, FINRA will send the following required participation materials directly to the firm’s Chief Compliance Officer listed in the FINRA Contact System (FCS):
- Instructions for administering the training
- Regulatory Element learning materials
- Sample senior leader completion certification
- A Senior Leader Regulatory Element CE Interim Program Completions Form to capture and record senior leader participation
The firm’s Chief Compliance Officer will be responsible for providing FINRA with the list of participating senior leaders who completed the training and demonstrated proficiency in the subject matter covered by the educational material by submitting a Senior Leader Regulatory Element CE Interim Program Completions Form.
Please allow up to five business days for processing. FINRA will send the required participation materials via email directly to the firm's Chief Compliance Officer listed in the FINRA Contact System (FCS).
