FINRA Information Notice on Continuing Education Planning
The Securities Industry/Regulatory Council on Continuing Education (the Council) released the semi-annual Firm Element Advisory (FEA) (see FINRA Regulatory Notice 13-14). 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
- Alternative Investments (both funds and structured products)
- AML
- Books and Records
- Business Continuity
- Communications with the Public
- Corporate Finance (private placements)
- Customer Accounts
- Dispute Resolution (arbitration)
- Insurance Products
- Munis
- Registration and Disclosure (about representatives)
The updated FEA is available at: http://www.cecouncil.com/Documents/FEA_Semi_Annual_Update.pdf.
Click hereto view notice in full (links externally to FINRA website).