S106 Firm Element Continuing Education
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S106 Firm Element Continuing Education

P120308
On Program (CE Program), which is required ), is a two-part program composed of a Firm Element and a Regulatory Element.

The Firm Element is developed and must be delivered by each firm on an annual basis.

The Regulatory Element is developed by industry committees representing a diverse range of broker-dealers, in industry regulatory agencies and SROs.The CE Program is intended to keep registered rsonnel current regarding rules and other issues important to performing their jThe Regulatory Element The Regulatory Element requires all registered persons to participate in a prescribed computer-based training session within 120 calanniversary date and every three years thereafter.The Regulatory Element is designed to cover significant subject matter that is broaThe Regulatory Element focuses on compliane specific requirements of certain rules may differ slightly among the various SROs, the program is based on licable to all.

In certain instances, particular SRO requirements may be more restrictive than those represented in the Regulatory Element.

Additionally, many broker-dealers may have es that are more ment products they may represent, and/or scope permitted by their employing broker-dealers and conducted in accordance with the rule requirements of all of the SROs and jurisdictions regulating them.The S106 Regulatory Element Program is requibe covered in any of the four modules.Topics identified in this outline are covered thoroughly in the modules, and some may be covered in more than one module.The content coverage of each of these modules and the common topics are outlined following.
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635NASD Notice to Members 01-71November 2001ContinuingContent Outline For New Series 6 ProgramRegulatory Element(S106) For InvestmentRepresentativesKEY TOPICSINFORMATIONALExecutive Summary1)The Series 6 Program will2)Module 7 of the Series 63)The scenarios in all , National Association of SecuritiesRegulatory Element Content OutlineDecember 2000The RegulatorySecurities Industry/Regulatory Council on Continuing EducationRegulatory Element Content OutlineDecember 20001Content Outline For The Regulatory ElementIntroductionThe Regulatory Element2Regulatory Element Content OutlineDecember 2000How The Training Is Presented In Each ProgramSeries 6 Program (106)Module 1Registration & Reporting IssuesModule 2Communications with the PublicModule 3SuitabilityModule 4Handling Customer AccountsModule 5Business ConductModule 6Customer Accounts, Trade & Module 7Application of Product Knowledge General Program (101)Module 1Registration & Reporting IssuesModule 2Communications with the PublicModule 3SuitabilityModule 4Handling Customer AccountsModule 5Business ConductModule 6Customer Accounts, Trade & Module 7New & Secondary OfferingsRegulatory Element Content OutlineDecember 20003Content Outline For The Regulatory ElementThis is the content outline for both the General (101) and the Series 6 (106) programs.Topics that are specic to the 101 General Program appear in text boxes.Module 1: Registration And Reporting Issues1
s106 firm element continuing education
Continuing Education - Ce Council - Securities Industry …
Continuing Education Content Outline For New Series 6 Program Regulatory Element (S106) For Investment ... comprising a Firm Element and a Regulatory Element. (finra.org)
Continuing Education— In-firm Delivery Of The Regulatory Element
S106 for Investment Company ... Continuing Education relating to In–Firm Delivery of the Regulatory Element. ... Regulatory Element continuing education, ... (cecouncil.com)
Continuing Education - Finra - Home Page
identifying and tracking their registered representatives for Regulatory Element purposes. Continuing Education Firm Queues ... the S106 Series 6 Program for Investment (www3.finra.org)
.1Registration/Licensing Requirements1.2Securities And Exchange Commission (SEC) And SRO Authority And Investigations()()of the Securities Exchange Act of 1934]Settlement of employer-employee disputes1.3Blue-Sky Laws, Registration Of Securities1.4Differences In Insurance Appointments And Securities Licensing4Regulatory Element Content OutlineDecember 2000Content Outline For The Regulatory ElementModule 2: Communications With The Public2.1Communications With The Public2.2Customer Complaints And Inquiries3.1Specic Elements In Evaluating Current Status Of Customer3.2Concepts And Implications Related To Risk3.3Monitoring Customer Needs, Objectives, And PortfolioRegulatory Element Content OutlineDecember 20005Content Outline For The Regulatory Element4.1Prohibited/Fraudulent Practices 4.2Third-Party Orders And Authority To Transact4.3Account Transfers And Customer Records4.4Gifts And Gratuities 4.5Sharing Prots And Losses 4.6Prudent Man Rule 4.7Chinese Wall Requirements (Pertains to the 101 Program only)6Regulatory Element Content OutlineDecember 2000Content Outline For The Regulatory Element5.1Private Securities Transactions5.2Outside Business Activities5.3Compensation 5.4Payment Of Referral Fees (To Nonafliated Persons) 5.5Restrictions On Loans To/From Customers5.6Conicts Of Interest And Potentially Illegal Situations 5.7Cash Transaction Reporting Requirements (Regulatory Element Content OutlineDecember 20007Content Outline For The Regulatory ElementModule 6: Customer Accounts, Trade And Settlement Practices6.1Customer Accounts, Documents, Approvals, And Restrictions()()Joint Accounts - Characteristics and purpose of accounts such as joint tenants with right of survivorship, joint tenants in common.Broker/Dealer Employee Accounts - Approval of and disclosures, procedures for openingObligations of and limits on duciaries, limits on the use of powers of attorneyAuthorization to transact6.2Regulation T, SRO Margin And Short Sales Rules (Pertains to the 101 Program only)6.3Securities Investor Protection Corporation (SIPC)6.4Payment And Delivery For Securities Transactions6.5Payment For Investment Company/Variable Contract Products6.6Correction Of Errors 8Regulatory Element Content OutlineDecember 2000Content Outline For The Regulatory ElementModule 7: New And Secondary Offerings (Pertains to the 101 Program only)7.1SEC Registration and Prospectus Requirements (Securities Act of 1933)7.1Penny Stock Rules Module 7: Application Of Product Knowledge To Sales Practices 7.1Investment Companies7.1.1Mutual Funds7.1.2Types Of Distributions 7.1.3Types Of Mutual Funds7.1.4Important Factors In Comparing Funds7.1.5Prices Of Mutual Fund SharesRegulatory Element Content OutlineDecember 20009Content Outline For The Regulatory Element7.1.6Redemption Of Mutual Fund Shares7.1.7Prospectus And Statement Of Additional Information (SAI)7.1.8Federal Income Tax Regulations For Mutual Funds7.1.9Contractual Plan/Periodic Payment Plan7.2Variable Contracts 7.2.1Variable Annuity Contracts7.2.2Variable Life Insurance (Fixed And Flexible Premium Types)7.3Retirement

Plans 10Regulatory Element Content OutlineDecember 2000.
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