Content Outlines
The Regulatory Element requires all registered individuals to complete a computer-based training session within 120 days of the second anniversary of their initial registration date, and every three years thereafter. The program focuses on compliance, regulatory, ethical and sales practice standards. Its content is derived from industry rules and regulations, and accepted standards and practices in the industry.
There are currently four Regulatory Element programs. Information about each program, including content outlines are available below:
Content Outlines for the Regulatory Element Programs