Regulatory Element Survey Results
In July 2024 the CE Council conducted an anonymous survey focused on firms’ experiences with the Regulatory Element. Survey results can be found on the Regulatory Element Page.
Review of CE Findings
Review FINRA’s most common CE related exam findings and learn about effective practices to meet requirements. CE Council – Summary of CE findings
Updated CE Transformation Playbook
This document is intended to help firms and securities professionals take full advantage of recent changes to the CE Program. CE Transformation Playbook
Q4 Quarterly Highlights are now available
This resource is intended to help firms identify topics that may be appropriate for their Firm Element training programs. Click here to view the Quarterly Highlights online.