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 […]
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 […]