Firm Element

Firm Element Requirement

The Firm Element requirements apply to all registered persons.

Annually, each firm must analyze and evaluate its training needs to provide a firm-developed and administered training program. This training keeps registered employees current on topics related to their professional responsibility. The Firm Element requires broker-dealers to conduct a Needs Analysis to develop a written plan for training. They are to then maintain records documenting the content and completion of the program.

For more information see CE Council Guide to Firm Element Continuing Education Programs or contact cecounciladmin@finra.org

Quarterly highlights

The Council publishes the Firm Element Needs Analysis Quarterly Highlights to aid industry participants with identifying potential topics to include in Firm Element training plans.

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CE Council Guide to Firm Element Continuing Education Programs

Guidance to create a needs analysis and training plan.

The integrity of the financial services industry relies, in part, on registered financial professionals and their in-depth knowledge and expertise. To facilitate education and training, member firms in the securities industry must create and maintain effective and meaningful programs that expand a financial professional’s knowledge of the securities and financial industry and keep them abreast of regulations governing their business activities.

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Firm Element Needs Analysis

This template is designed to assist firms in fulfilling their  training requirements.

CE Council Firm Element Needs Analysis Template – PDF

CE Council Firm Element Needs Analysis Template – Word

CE Council Firm Element Needs Analysis Template – Excel

2023 Firm Element CE Survey Feedback

In May 2023, the CE Council launched a survey aimed at compliance CE administrators in an effort to gauge the impact of recent changes to CE and registration rules and enable the CE Council to enhance its guidance materials.

2023 Firm Element Continuing Education Survey Feedback

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.

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