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SICEP

Regulatory Element

How to Prepare for Your CE Session

The Securities Industry/Regulatory Council on Continuing Education recognized that there is great value in exposing all industry participants to the benefits of the Regulatory Element, in part because of the significant regulatory issues that have emerged over the past few years. The Regulatory Element Programs are continuously updated to address current regulatory concerns.

The S101, S106, S201 and S901 Programs lead participants through scenarios depicting situations faced by registered persons in the course of their business. Participants review cases in categories as suitability, communications with the public, anti-money laundering, insider-trading, product knowledge, and for the S201 only, supervision.

The formats of the scenarios are computer interactive text-based featuring embedded story artifacts and education al tools in the form of glossary terms and resources. After reading the scenario, the participant must demonstrate their understanding of the issues by choosing the most appropriate responses(s) to questions concerning the facts in the scenario. The programs assess the participant's understanding of the topic. If the participant does not show proficiency with the subject matter, the program delivers tutorials about the topics in the module and the participant must try again with another scenario in the same module. The participant must successfully complete on scenario in the module before advancing to the next module. The programs provide immediate feedback as participants work through the scenario questions.

Appointments for the Regulatory Element are three and one half hours. If a Regulatory Element session is not completed within the appointment time, the participant must retake the entire session at another appointment. The current fee for a session is $100.

The Securities Industry/Regulatory Council on Continuing Education has made available two introductory sessions to help the industry familiarize themselves with the Regulatory Element Programs.

The Securities Industry/Regulatory Council on Continuing Education has made available two introductory sessions to help the industry familiarize themselves with the S101/S106 and S201 Regulatory Element Programs.


Please note: The Orientation and Sample Case materials are designed to familiarize candidates with the user experience, functionalities, and navigational features for all redesigned programs. The features detailed in these training materials are utilized across the S101, S106, S201 and S901 Programs.

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Guide to the Regulatory Element