Continuing Education Planning

On October 30, 2008, the Securities Industry/Regulatory Council on Continuing Education (the Council) released the semi-annual Firm Element Advisory (FEA) (see Regulatory Notice 08-63). The Council suggests that firms consult the FEA when developing their Firm Element training needs analysis.

FINRA offers a range of training resources that address many of the topics that the Council has outlined in the FEA. These may be suitable for Firm Element training and are available on demand through www.finra.org. FINRA’s training resources are offered in several formats and are available for free or a nominal charge.