S106 Regulatory Continuing Education Prep Course

FINRA’s Continuing Education program comes in a two-part system. The first is the Regulatory Element which is represented through a series of 4 FINRA Continuing Education programs. The second is the Firm Element which is implemented and designed inside each FINRA member firm.

The S106 Regulatory these Continuing Education programs can be completed through the new FINRA CE Online Program. Each candidate will have 120 days after being notified to complete the S106 CE Requirement. If desired, participants may also sign up for the Regulatory Element plan at a local testing center. This option comes at an increase cost and must be completed in one 3.5 hour session focused on guiding the participant through the material.

Each module offers a case study that provides valuable information and skills participants will need to apply further in their work. Participants may choose the order in which they wish to complete each module.

Individual Modules for the FINRA S106 CE Program Include:

  • Module A: Types of Communication
  • Module B: Suitability
  • Module C: Handling Customer Accounts, Trade and Settlement Practices
  • Module D: Common Topics

Course Details

The cost for the S106 program is $100 when taken at a local test center. When completed through the CE Online Program the cost is $55.

If you choose to complete the S106 program at a local testing center, you will have 3.5 hours to complete the course. A surcharge of $15 and your signature on the FINRA Data Processing Consent Form will also be required.

When participants choose to complete the S106 program through the CE Online Program, they will have 120 days to do so. They may also pause the program at any time in order to ensure a pace they need.

Prerequisites

The S106 is required for all individuals who hold a Series 6 registration.

Every registered and eligible individual with an open window may complete their S106 program via FINRA’s online portal. Registered individuals must complete the S106 CE program two years after their initial registration and every three years following.

Prep Course Outline

Our goal at the Securities Institute is to help you continue your successful career. We created the S106 program with this in mind. We want to help you master the material in a way that will propel your through the CE requirement so that you can focus on your work/ This program was designed by top industry experts who have your goals in mind. With the Securities Institute’s training program this can be possible.

The Securities Institute S106 Training Program Includes:
  • 7 Hours of Video Training"
  • Reading Assignments
  • Q&A Tests
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