Regulatory Element
As of July 1, 2016, Continuing Education will no longer be offered through Testing Centers. For more details read the Information Notice 5/16/16.
As of January 4, 2016, the S101 Regulatory Element Program is available through the CE Online Program. For more details read the Information Notice 11/4/15.
For additional information on Continuing Education (CE) Online, please visit: www.finra.org/industry/ce-online.
Firm Element
The Firm Element consists of annual, firm-developed and administered training programs designed to keep specified covered employees current regarding job- and product-related subjects.
The Council
The Securities Industry/Regulatory Council on Continuing Education (the Council) has advisory and consultative responsibilities with regard to the development, implementation and ongoing operation of the Securities Industry Continuing Education Program.
industry news
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Cboe Options Regulatory Circular RG18-025 Mandatory Participation in Disaster Recovery Testing
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SEC Release No. 34-83663 Regulation of NMS Stock Alternative Trading Systems
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FINRA Information Notice - FINRA Warns Firms of Regulator Impersonators
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