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08-63 Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update

Continuing Education

Regulatory Notice
Notice Type

Guidance
Key Topics

Continuing Education
Firm Element
Suggested Routing

Compliance
Continuing Education
Legal
Registration
Senior Management
 

Executive Summary

This Notice advises firms of the fourth-quarter 2008 Securities Industry/Regulatory Council on Continuing Education Firm Element Advisory (FEA), which identifies regulatory and sales practice topics that firms should consider in their Firm Element training plans. Topics updated or added since the prior FEA are indicated in the document as such.

The updated Firm Element Advisory is available at www.cecouncil.com/publications/council_publications/FEA_Semi_Annual_Update.pdf.

Questions concerning this Notice should be directed to:

•  Joseph Sheirer, Director, Continuing Education, FINRA, at (646) 315-8691; or
•  Roni Meikle, Director, Continuing Education, FINRA, at (646) 315-8688.

Background & Discussion

The Securities Industry/Regulatory Council on Continuing Education (the Council) publishes the Firm Element Advisory (FEA) to highlight current regulatory and sales practice issues that firms should consider for possible inclusion in Firm Element training plans. The topics are identified through a review of industry regulatory and self-regulatory organization publications and announcements of significant events.

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 www.cecouncil.com/publications/council_publications/FEA_Semi_Annual_Update.pdf.

In addition to the FEA, the Council offers the Firm Element Organizer as a resource that can assist firms in developing their Firm Element training plans. The Firm Element Organizer is a Web-based tool that enables users to search an extensive database of regulatory resources related to specific investment products or services and is available at www.cecouncil.com/firm_element/organizer.

In late October, the Council will survey Continuing Education contacts that each firm has on record with FINRA to further understand how firms use the FEA and the Council's Web site. The electronic survey inquires about usage of and potential improvements to the FEA and the Council Web site. All responses to the survey are confidential.


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