What participants are saying:

“Interactive, real life examples were helpful, opportunity to ask questions throughout.”

“Presenters are very experienced, representing various firm sizes/ business models.”

Calendar

Documenting and Tracking CE

Welcome to the SIFMA's Continuing Education Resource Center

This Resource Center is intended to provide you with information and resources to assist you with the implementation of the Securities Industry Continuing Education Program at your firm. The Securities Industry Continuing Education Program is mandated by uniform rules of the major securities self-regulatory organizations, including FINRA. The rules affect both securities firms and their registered personnel.

Mission Statement

The mission of the Continuing Education Committee of the Securities Industry and Financial Markets Association is to assist the industry in maintaining the highest standards of industry knowledge and investor service by:

  • Identifying regulatory developments that may impact the training, education and compliance communities.
  • Developing a collective understanding of industry challenges and “best practice” solutions.
  • Providing workshops, publications and other resources to assist training, education and compliance professionals.
  • Formulating initiatives to support the efforts of the training, education and compliance communities.