Details on FINRA’s Regulatory Element Program

FINRA’s Regulatory Element Program is composed of lengthy computer based training based on supervisory subjects, regulatory, compliance, ethical and sales practice standards.




Registered individuals are required to participate and complete a given Regulatory Element within a period of 120 days within their 2nd anniversary of being registered.

After which, they’ll be required to complete RE every 3 years to remain a registered representative.

Currently, the Regulatory Element Program Comes in 4 Versions:

  • (S201) – The Supervisor Program for Registered Principals and Supervisors
  • (S901) – The Series 99 Program for Operations Professionals
  • (S106) – The Series 6 Program for Investment Company Products or Variable Contracts Representatives.
  • (S101) – The General Program for Series 7 Registered Persons and all other registrations

Of course for stock brokers, the S101 regulatory program will be the one required. This training program will focus on things like finding suitable investments for clients, opening and maintaining client accounts, ethics and business conduct, proper communication methods as well as other important subjects that pertain to the series 7 license.

When being a registered representative, it’s important to stay knowledgeable with the rules and regulations set for license holders so as to protect the public’s investment endeavors. This is simply FINRA’s method of ensuring that.

FINRA’s Regulatory Elementary Program Online Learning

Regulatory Element Program

FINRA Regulatory Elementary Programs can be learned online where they address diverse training topics for registered representatives, operations and administrative staff, compliance personnel and those who have supervisory responsibilities.

Programs are available as webinars, podcasts, e-learning courses and webcasts. Some programs deliver simple and easy compliance training and offer completion tracking that may suit the Regulatory Element Program preparation and Firm Element Continuing Education.

More from Learning the Trade
Back to Top