Regulatory Element

The Regulatory Element offers programs to help securities industry professionals stay on top of new regulations, amendments to existing rules and new products.

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.

The Council

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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