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07-26 Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update

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Continuing Education
Legal & Compliance
Senior Management
Continuing Education
Firm Element

Continuing Education

Executive Summary

In the fourth quarter of every year, the Securities Industry/Regulatory Council on Continuing Education (Council) publishes the annual Firm Element Advisory (FEA). The Council is now updating the FEA in the second quarter of each year. Topics added to the FEA in the second-quarter update will be flagged as such, and will also appear in the year-end FEA.

Background and Discussion

The Council's FEA identifies regulatory and sales practice topics that firms should consider including in their Firm Element training plans. The topics are based on a review of recent industry and self-regulatory organizations' publications and other communications.

The FEA topics are not exhaustive and are intended as a guide to firms when they determine what to include in their training plans. Firms should consider the specific nature of their business, clients, products and services when creating their training plans.

The updated FEA is available on the Council's Web site at

Questions/Further Information

Questions concerning this Notice may be directed to Joseph McDonald, Associate Director, Testing and Continuing Education, at (240) 386-5065.

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