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 as follows:
- Maintain liaison with appropriate industry groups and regulators.
- Recommend updates to the specific content of the Regulatory Element.
- Recommend updates to the requirements for the Firm Element.
- Promote effective implementation of meaningful continuing education to the securities industry.
The Council is comprised of industry members from broker-dealers, representing a broad cross section of industry firms, and representatives from Self-Regulatory Organizations. The Council also includes liaisons from the Securities and Exchange Commission and the North American Securities Administrators Association (NASAA).
Members of The Securities Industry/Regulatory Council on Continuing Education