Continuing Education - Firm Element Advisory Update
FINRA RN 11-18
April 15, 2011
FINRA published a notice to advise firms of the release of the Securities Industry/Regulatory Council on Continuing Education's Spring 2011 Firm Element Advisory. The advisory, contains a broad overview of FINRA initiatives from the last six months, identifies regulatory and sales practice topics that firms should consider including in training plans.
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