S101 Regulatory Continuing Education Prep Course

The FINRA Continuing Education program is a two-part system consisting of the Regulatory Element along with the Firm Element. The Firm Element is designed and implemented within each FINRA member firm. However the Regulatory Element is represented through a series of 4 FINRA Continuing Education programs.

These programs can be completed via the new FINRA CE Online Program, an approach that allows each participant to study and test on the material for a full 120 days after registration. Participants also have the option of signing up for the Regulatory Element of the Continuing Education plan at a local testing center. This approach incurs an increased cost and guides the participant through the material in a single 3.5 hour session.

In 2016 the FINRA launched a revised program for the S101 Regulatory Element CE Program that includes a self-selection module designed to customize the program focus based on the participant’s job function. Each participant will be presented with at least one case study from Modules A, B & C. Additionally they will be given the opportunity to self-select a category for Module D that accurately reflects their job function.

Individual Modules for the FINRA S101 CE Program Include:

  • Module A: Responsibilities to Customers: Communications with the Public, Suitability, and Basic Product Knowledge
  • Module B: Operational Responsibilities: Customer Accounts, Trade and Settlement, New and Secondary Offering Procedures
  • Module C: Regulatory Responsibilities: Registration Requirements, Complaints, Reporting Requirements, Prohibited and Fraudulent Behavior, Anti-Money Laundering
  • Module D: This module is organized into five common job functions:
  • o D.1 Retail Sales
    o D.2 Institutional Sales
    o D.3 Trading
    o D.4 Operations
    o D.5 Investment Banking and Research
Please note that participants will be allowed to complete the modules in the order of their choosing.

Course Details

Cost for the S101 is $55 per session completion via the CE Online Program. Sitting for the program at a local testing center is slightly more expensive at $100.

Participants who choose to utilize the CE Online Program will have 120 days to finish their session. The program can be started and stopped at will given each applicant the opportunity to finish at their own pace.

If you choose to apply to one of the many local testing centers you will have 3.5 hours to complete the course and will be required to sign an FINRA Data Processing Consent Form while also paying a surcharge of $15.

Prerequisites

The S101 is required for all individuals who hold their Series 7 or any other registration outside of the Series 6.

All individuals who hold the TD Registration will be required to take the S101 CE Program. The Securities Trader Registration, or TD, replaces the Equity Trader (ET) registration (S55) and the Proprietary Trader (PT) registration (S56), which will be retired on January 4, 2016.

Prep Course Outline

At the Securities Institute our goal is to help you prepare for success. This is why we have created our new S101 training program. Designed to help you both learn and master the material, the S101 training program covers each module as we walk you through the content topic by topic.

Designed by top industry experts we realize this is more than just another course. It is a stepping-stone for your career and one that you can use to help you enhance your knowledge base as you work through your required continuing education requirements.

The Securities Institute S101 Training Program Includes:
  • 5 Hours of Video Training
  • Reading Assignments
  • Q&A Tests
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