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TRENDING TAGS
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- Sarah ten Siethoff is New Associate Director of SEC Investment Management Rulemaking Office
- Catherine Keating Appointed CEO of BNY Mellon Wealth Management
- Credit Suisse to Pay $47Mn to Resolve DOJ Asia Probe
- SEC Chair Clayton Goes 'Hat in Hand' Before Congress on 2019 Budget Request
- SEC's Opening Remarks to the Elder Justice Coordinating Council
- Massachusetts Jury Convicts CA Attorney of Securities Fraud
- Deutsche Bank Says 3 Senior Investment Bankers to Leave Firm
- World’s Biggest Hedge Fund Reportedly ‘Bearish On Financial Assets’
- SEC Fines Constant Contact, Popular Email Marketer, for Overstating Subscriber Numbers
- SocGen Agrees to Pay $1.3 Billion to End Libya, Libor Probes
- Cryptocurrency Exchange Bitfinex Briefly Halts Trading After Cyber Attack
- SEC Names Valerie Szczepanik Senior Advisor for Digital Assets and Innovation
- SEC Modernizes Delivery of Fund Reports, Seeks Public Feedback on Improving Fund Disclosure
- NYSE Says SEC Plan to Limit Exchange Rebates Would Hurt Investors
- Deutsche Bank faces another challenge with Fed stress test
- Former JPMorgan Broker Files racial discrimination suit against company
- $3.3Mn Winning Bid for Lunch with Warren Buffett
- Julie Erhardt is SEC's New Acting Chief Risk Officer
- Chyhe Becker is SEC's New Acting Chief Economist, Acting Director of Economic and Risk Analysis Division
- Getting a Handle on Virtual Currencies - FINRA
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NEWSLETTERS & ALERTS
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].

