FINRA Notice on Continuing Education: List of Covered Topics

The Securities Industry/Regulatory Council on Continuing Education (Council) has released its Fall 2012 Firm Element Advisory (FEA). The purpose of the FEA is to identify regulatory and sales practice topics that firms should consider in their Firm Element training plans. The following subjects include:

• Alternative Investments;
• AML;
• Books and Records;
• Business Continuity;
• Communications with the Public;
• Corporate Finance and Institutional Business;
• Customer Accounts;
• Dispute Resolution;
• Political Contributions by Investment Advisers;
• Fact Act and Flags Rule;
• Finance and Operations;
• Insurance/Annuities;
• Margin and Margin Accounts;
• Munis;
• Options;
• Sales Practice and Supervision;
• Trading Practices and Supervision;
• Transaction Reporting and Data Dissemination.

View notice in full here (links externally to FINRA website). See also: Updated FEA; Information Notice.