Council Publications
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Content Outline for the S101 Regulatory Element
- Content Outline for the S106 Regulatory Element
- Guide to Firm Element Needs Analysis and Training Plan Development - October 2009
- Firm Element Advisory - Semi-Annual Update Fall 2011
- Firm Element Advisory - Semi-Annual Update Spring 2011
- Firm Element Advisory - Semi-Annual Update Fall 2010
- Firm Element Advisory - Semi-Annual Update Spring 2010
- Firm Element Advisory - Semi-Annual Update Fall 2009
- Firm Element Advisory - Semi-Annual Update Spring 2009
- Firm Element Advisory - Semi-Annual Update Fall 2008
- Firm Element Advisory - Semi-Annual Update Spring 2008
- Firm Element Advisory - Semi-Annual Update November 2007
- Firm Element Advisory - Semi-Annual Update May 2007
- Firm Element Advisory - October 2006
Each year the Securities Industry/Regulatory Council on Continuing Education (CE Council) publishes the Firm Element Advisory to identify current regulatory and sales practice issues for possible inclusion in Firm Element Training plans. This year's topics have been taken from a review of industry regulatory and self-regulatory organization (SRO) publications issued since the last Firm Element Advisory of October 2005. The Council suggests that firms use the Firm Element Advisory as part of their Firm Element Needs Analysis to identify training topics that are relevant to the firm. - Firm Element Advisory - October 2005
Review this publication from the Council that identifies topics relevant to the industry at this time that may be appropriate for firms to include in their Firm Element training. -
Firm Element Practices - October 1997
Review this document which provides excerpts of needs analyses and training plans for eight broker-dealer firms of various sizes and types and includes commentary from the Council to highlight strong and weak aspects of the plans.
