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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 and the S106 Programs lead participants through scenarios depicting situations faced by registered persons in the course of their business. The format of the scenarios in the S101and the S106 is text-based with some audio segments. The participant must demonstrate his or her understanding of the issues by choosing the most appropriate response(s) to questions concerning the facts in the scenario. The programs assess the individual’s understanding of the topic. If the individual 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 one scenario in the module before advancing to the next module.
The Supervisor/Principal Program (S201) is specifically designed to enhance a supervisor’s problem-detection and resolution skills. The program incorporates multimedia features that enable participants to observe live situations, and view various documents such as account statements, portfolios and industry forms, in order to solve the problems presented in the exercise.
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 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.
- Animated Orientation for S101 and 106 Programs – Reviews the interactive formats and navigation functions of the redesigned programs.
- Sample Case for S101 and S106 Program – An abbreviated sample case that demonstrates the new interactive format and types of activities of the redesigned S101 and S106 programs.
