The CE Council has created numerous resources to help firms navigate recent CE changes and create effective Firm Element training programs. Transformation Resources CE Transformation Playbook Stakeholder Considerations Review of CE Findings Through Examination Program Firm Element Resources CE Council Guide to Firm Element CE Programs Firm Element Needs Analysis Guide Needs Analysis – Word […]
The 2025 FINRA Annual Regulatory Oversight Report (the Report) provides FINRA member firms (firms) with insight into findings from FINRA’s regulatory operations programs. The Report reflects FINRA’s commitment to providing transparency to firms and the public about our regulatory observations and activities. Click here to access the Report.
The Securities and Exchange Commission’s Division of Examinations released its 2025 examination priorities. The Division publishes its examination priorities annually to inform investors and registrants of potential risks in the U.S. capital markets and to make them aware of the examination topics that the Division plans to focus on in the new fiscal year.
FINRA and the CE Council have published the 2025 learning topics for each registration category. The 2023 and 2024 learning plans are can still be accessed through this link as well. Regulatory Element Learning Topics Tool
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The Securities and Exchange Commission’s Division of Examinations today released its 2024 examination priorities to inform investors and registrants of the key risks, examination topics, and priorities that the Division plans to focus on in the upcoming year. This year’s examinations will prioritize areas that pose emerging risks to investors or the markets in addition to core […]