Regulatory Element

As of January 4, 2016, the S101 Regulatory Element Program is available through the CE Online Program. For more details read the Information Notice 11/4/15.


FINRA has received SEC approval for administering the Continuing Education (CE) Regulatory Element online. For more details read the Regulatory Notice 15-28.


For additional information on Continuing Education (CE) Online, please visit:

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.