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Federal Register: FINRA Releases Firm Element Advisory in Online Format

FINRA notified member firms that the Securities Industry/Regulatory Council on continuing education released the Firm Element Advisory in a new online format. The Firm Element Advisory, which was previously released semi-annually in a document format, will now be available online.

Primary Sources

  1. FINRA Regulatory Notice 16-35
  2. Securities Industry/Regulatory Council on Continuing Education Overview of Firm Element Advisory

Tags

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