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Information Notice – 10/02/18

Administrative Changes to the Continuing Education Regulatory Element Programs

Published Date:
Effective Date: December 8, 2018


Effective December 8, 2018, the content from the S106 and S901 Regulatory Element Continuing Education (CE) Programs will become part of the S101 Regulatory Element CE Program. The S106 and S901 CE Programs will be retired as stand-alone programs. Individuals who previously completed these programs instead will be required to complete the S101 CE Program. The S101 CE Program will include new personalized modules for each of the following representative categories: Investment Company and Variable Contracts Products, Investment Banking, and Research.

Questions regarding this Notice should be directed to:

  • Monica Schumacher, Associate Director, Continuing Education (CE), at (212) 858-4018; or
  • David Scrams, Senior Director, Testing & Measurement, CE, at (240) 386-5950.