Home Industry News

  1. FINRA Regulatory Notice 12-16

    Changes to Qualification Examination Fees and New Service Charge for Regulatory Element Continuing Education Sessions Taken Outside the United States

    3/29/2012

  2. FINRA Regulatory Notice 11-49

    FINRA Provides Guidance on Advertising Regulation Issues

    12/7/2011

  3. FINRA Regulatory Notice 09-67

    Regulatory Element Continuing Education Fees to Increase

    11/27/2009

  4. FINRA Information Notice 11/9/09

    Changes to the S101 and S106 Regulatory Element Continuing Education Programs

    11/9/2009

  5. FINRA Regulatory Notice 09-26

    Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update

    5/19/2009

  6. FINRA Regulatory Notice 08-63

    Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update

    10/31/2008

  7. NASD Notice to Members 07-26

    May 21, 2007 - Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update - In the fourth quarter of every year, the Securities Industry/Regulatory Council on Continuing Education (Council) publishes the annual Firm Element Advisory (FEA). The Council is now updating the FEA in the second quarter of each year. Topics added to the FEA in the second quarter update will be flagged as such, and will also appear in the year-end FEA.

    5/21/2007

  8. NYSE Information Memo 07-47

    May 21, 2007 - Continuing Education Firm Element Advisory Update - In the fourth quarter of each year, the Securities Industry/ Regulatory Council on Continuing Education (the "Council") publishes the Firm Element Advisory ("FEA") to identify current regulatory and sales practices for possible inclusion, where appropriate, in Firm Element training plans. These topics are routinely taken from a review of industry regulatory and self-regulatory organizations' publications and announcements of significant events. The most recent annual FEA was issued in November 2006.

    5/21/2007