The CE Council has created several resources to help firms create effective Firm Element training programs. These resources are designed to aid firms in creating written training plans, selecting training topics and document completion of training.
Firm Element Resources
CE Council Guide to Firm Element Continuing Education Programs
This guide is intended to support development of a Firm Element program that addresses regulatory requirements and provides training that is topical, spurs interest from the audience and fosters conversation among all stakeholders
Firm Element Focus
The Securities Industry/Regulatory Council on Continuing Education (Council) publishes the Firm Element Focus to assist industry participants with identification of potential topics to include in Firm Element training plans. Topics are identified from a review of industry, regulatory and self-regulatory organization (SRO) announcements, publications of significant events, the annual report from FINRA’s Examination and Risk Monitoring Program, and the adoption by the U.S. Securities and Exchange Commission (SEC or Commission) of new rules or amendments.
Firm Element Frequently Asked Questions
The CE Council has provided answers to a number of frequently asked questions (FAQs). These FAQs are provided as a guide to help firms plan, develop, and implement a Continuing Education (CE) Firm Element Program. Click the link below to learn more.