The Regulatory Element offers programs to help securities industry professionals stay on top of new regulations, amendments to existing rules and new products.
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.
The Securities Industry/Regulatory Council on Continuing Education (the Council) has advisory and consultative responsibilities with regard to the development, implementation and ongoing operation of the Securities Industry Continuing Education Program.
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