Activities & New Initiatives

Firm Element Advisory

The Firm Element Advisory is only available in an electronic format. The Securities Industry/Regulatory Council on Continuing Education (CE Council) updates the Firm Element Advisory on a quarterly basis to identify current regulatory and sales practice issues for possible inclusion in Firm Element Training plans. The topics are taken from a review of industry regulatory and self-regulatory organization (SRO) publications issued since the last Firm Element Advisory. The Council suggests that firms use the Firm Element Advisory as part of their Firm Element Needs Analysis to identify training topics that are relevant to the firm.

The 2016 Council Status Report is Now Available

2016 Council Status Report

Historic Documents

2015 Council Status Report