Continuing Education

Continuing advocacy from the states helped prompt the securities industry in 1995 to create the Securities Industry Regulatory Council on Continuing Education, which is comprised of representatives of the securities industry, self-regulatory organizations, the SEC, and NASAA. Our joint efforts have resulted in a national continuing education program that is accepted by all regulatory agencies. Each year, more than 175,000 financial professionals participate in the continuing education program’s computer-based training.

The Council’s website contains comprehensive continuing education information as well as software applications to assist with Firm Element compliance and training. Log on to:

  • Use the Firm Element Organizer to help conduct a Needs Analysis and to help develop Firm Element training plans.
  • View a catalog from which scenarios developed for the Regulatory Element may be obtained. The scenarios have fulfilled their three-year cycle in the Program, and can be used to prepare for the Regulatory Element or as part of Firm Element or other training.
  • Search the Firm Element Organizer database to research an area of interest.
  • Register for email alerts. Once registered, users will be notified whenever new SRO notices, publications, and rule and regulation updates of interest to you, are added to the Firm Element Organizer database.
  • Receive prompt answers to all continuing education questions.