netCEPSM
netCEP is a training library containing a collection of scenarios that were in the Continuing Education Regulatory Element Programs. netCEP is available on-demand, over the web, for individuals and firms. netCEP offers web-based training that may fit into Firm Element Plans, new-hire training, skills improvement, and general rule, product and compliance training. Individuals can access the scenario library to prepare for a Regulatory Element session or for personal training and development. netCEP includes materials from all three Regulatory Element Programs; the S201, for registered principals and supervisors, the S106, for Series 6 registered Investment Company Products Representatives Program, and the S101, General Program for Series 7 registered persons and all other registration categories.
Individuals can access netCEP on their own time to prepare for a required Regulatory Element session or for personal training and development. Under recent rule changes, all registered persons who were previously exempt from the Regulatory Element Program due to a grandfathered or graduated status are now required to participate in the Regulatory Element Continuing Education Program. netCEP is a useful resource to help prepare previously exempt individuals for their mandatory CE session.
The content in netCEP covers a wide range of topics that match the modular interactive design of the Regulatory Element Programs. Each module include scenarios to choose from within particular subject matters. Individuals may need to refresh their knowledge on topics that include suitability and sales practices or view scenarios that cover specific topics or products such as breakpoints or options.
For more information about netCEP Training Material, please send an email to education@finra.org or call 212-858-4119.
