Transcription of Securities Industry Continuing Education Program …
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Securities Industry Continuing Education Program …
1 Securities Industry Continuing Education Program firm Element Advisory Q4 2017 Introduction The Securities Industry /Regulatory Council on Continuing Education (Council) publishes the firm Element Advisory (FEA) to highlight current regulatory and sales practice topics for possible inclusion in firm Element training plans. The Council has identified the topics from a review of Industry , regulatory and self-regulatory organization (SRO) announcements, and publications of significant events. The FEA briefly identifies each topic and provides links to relevant documents issued about the specified subjects. The FEA is designed for Internet use; however, it can be printed.
1 Securities Industry Continuing Education Program Firm Element Advisory – Q4 2017 Introduction The Securities Industry/Regulatory Council …
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