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FINRA CEP for Supervisors is Changing

November 28, 2011
Beginning in 2012, FINRA will make changes to the S201 Regulatory Element Program, otherwise known as the Supervisors Program.   Supervisory/principal registrants who schedule an S201 session for on or after 1/2/12 will see the redesigned program, which includes new story-based cases and an updated user interface. Streamlined Program. The new program will include only 4 modules and will integrate a range of topics - e.g., ethics and business conduct, compliance, registration/licensing and reporting requirements.  Individuals must demonstrate their proficiency in the content of each case in order to successfully complete a module. FINRA Resources. Individuals can familiar themselves with the revised program by reviewing online resources on the FINRA web site:  content outline, animated orientation, brief sample case.  They also should note that the registration process is unchanged, so that they may register online for sessions through the Pearson and Prometric test center websites or by telephone. For further information about the S201 Regulatory Element redesigned program, go to:   [FINRA CE Training Page]. Questions also can be directed to: John Kalohn, VV - Testing and CE:  [(240) 386-5800];   or, Roni Meikle, Director, CE:  [(646) 315-8688]. To access this announcement, go to:   [FINRA InfoNote, 11/28/11].