How to Prepare for Your CE Session

The Programs lead participants through scenarios depicting situations faced by registered persons in the course of their business. Participants review cases in categories such as communications with the public, anti-money laundering, insider-trading, product knowledge, and for the S201 only, supervision.

The formats of the scenarios are computer interactive text-based featuring embedded story artifacts and educational tools in the form of glossary terms and resources. After reading the scenario, the participant must demonstrate understanding of the issues by choosing the most appropriate responses(s) to questions concerning the facts in the scenario. The Programs assess the participant's understanding of the topic. The Programs provide immediate feedback as participants work through the scenario questions.

The Securities Industry/Regulatory Council on Continuing Education has made available introductory sessions to help the industry familiarize themselves with the Regulatory Element Programs.

 

Guide to Firm Element Needs Analysis and Training Plan Development

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