(New) CE Program Enhancements Under Consideration – Request for Review & Comment (9/6/18)

The Council is exploring possible changes to the CE program and seeks feedback from the industry.

Click here to view the detailed document, questions and letter from the Council Chair. Then, visit FINRA Regulatory Notice 18-26 to share your feedback.

Firm Element

The Firm Element consists of annual, firm-developed and administered training programs designed to keep specified covered employees current regarding job- and product-related subjects.