INFOMATIONContinuing Education FINRA, in conjunction with other self-regulatory organizations and the Securities Industry/Regulatory Council on Continuing Education, administers the continuing education program for the securities industry. Continuing education consists of two mandatory programs: a Regulatory Element and a Firm Element.
The Regulatory Element
The Regulatory Element requires all registered individuals to complete a computer-based training program within 120 days of the second anniversary of their registration approval dates and every three years thereafter. The program focuses on compliance, regulatory, ethical and sales practice standards. Its content is derived from industry rules and regulations, as well as widely accepted standards and practices within the industry. Regulatory Element Programs have been developed for registered supervisors/principals (S201), Series 6 Investment Company Products/Variable Contracts Representatives (S106), and the General Program (S101) for Series 7 registrants and individuals in other registration categories not covered by the other programs.
The Regulatory Element Programs consist of updated content and a more interactive format. Registered representatives scheduled to take an S101, S106 or S201 session should review the following tools to prepare for the revised programs.
Continuing Education
Continuing Education
Continuing Education
Continuing Education
Continuing Education
Continuing Education
Continuing Education
Continuing Education
Continuing Education
Continuing Education
HCC Continuing Education
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