Continuing Education Planning

On June 3, 2008, the Securities Industry/Regulatory Council on Continuing Education (the Council) released the semi-annual Firm Element Advisory (see Regulatory Notice 08-29). The Council suggests that firms consult the Firm Element Advisory when developing their Firm Element training needs analysis.

FINRA offers a range of 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 www.finra.org.