Transcription of Securities Industry Continuing Education Program Firm ...
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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. Be advised that each link must be printed separately in order to encompass the full document and subjects covered. The Council suggests that firms use the FEA as an aid in evaluating and prioritizing their firm Element needs and developing written training plans. However, firms are reminded that they should not rely on the FEA as a comprehensive list of all areas they should consider.
1 Securities Industry Continuing Education Program Firm Element Advisory – Q4 2017 Introduction The Securities Industry/Regulatory Council on Continuing Education (Council)
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ENFORCEMENT AND INVESTOR PROTECTION, ENFORCEMENT AND INVESTOR PROTECTION DEPARTMENT SEC ADVISORY, Law Enforcement Training Advisory Commission / Mobil, Guidance Update, ADVISORY, PATIENT PROTECTION AND AFFORDABLE, Patient protection and affordable care act, Speed limits, TRUCKER’S INCOME & EXPENSE WORKSHEET