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10-20 Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update

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Continuing Education

Regulatory Notice
Notice Type

Suggested Routing

Continuing Education
Senior Management
Key Topics

Continuing Education
Firm Element

The Securities Industry/Regulatory Council on Continuing Education (Council) has released its Spring 2010 Firm Element Advisory (FEA). The Council produces the FEA to identify 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 FEA is available at

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.

In addition to the FEA, the Council offers the Firm Element Content Builder (formerly the Firm Element Organizer), a Web-based tool that can assist firms in developing their Firm Element training plans. It enables users to search an extensive database of regulatory resources related to specific investment products or services and is available at

Questions concerning this Notice should be directed to:

•   Roni Meikle, Director, Continuing Education, FINRA, at (646) 315-8688.

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