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FINRA Releases Semi-Annual Information Notice on Continuing Education Planning

The Securities Industry/Regulatory Council on Continuing Education (the Council) released the semi-annual Firm Element Advisory (FEA). FINRA has made available the following online training resources:

  • E-Learning Courses: Online training featuring assessment tests, scenarios, real-time completion tracking and certificates of completion (see www.finra.org elearning).
  • Podcasts: Short audio recordings on specific targeted topics, which can be heard online or downloaded to a portable media player (see www.finra.org podcasts).

The Council produces the FEA to identify regulatory and sales practice topics that firms should consider in their Firm Element training plans. Topics mentioned in the notice, as to which FINRA provides educational resources, include:

  • Consolidated FINRA Rulebook
  • FINRA Investor Alerts
  • AML Compliance
  • Suspicious Activity Reports
  • Business Continuity Planning
  • Communications with the Public
  • Advertising Regulation Issues
  • Blogs and Social Networks
  • Corporate Finance

See: Firm Element Advisory-Fall 2013; FINRA Regulatory Notice 13-33.Related News: FINRA Information Notice on Continuing Education Planning (April 12, 2013).

Tags

Regulated Activities
Employee Matters
Sub-Activity
Training / Continuing Education
Body of Law
Securities Law
Jurisdiction
US - Federal
Organization
FINRA / MSRB / SEC Exchanges / SIPC / Accountants
Sub-Author
FINRA