S201 Regulatory Continuing Education Prep Course

The FINRA Continuing Education program may be completed in a two-part system. The first part, the Regulatory Element, consists of a series of 4 Continuing Education programs. The second part, the Firm Element, is a system implemented and designed in each FINRA member firm.

The S201 Regulatory CE requirement may be completed through the new FINRA CE Online Program. This program provides each participant the opportunity to study and be tested on the material over the course of 120 days following registration. Participants may also choose to sign up to sit for the S201 Regulatory Element at a local testing center. This option must be completed in 3.5 hours with an increased cost and guided lessons through the material.

In each module the participant will be led through a case that depicts situations they may be faced with at their member firm. Each module may be completed in the order of the participants choosing.

Individual Modules for the FINRA S201 CE Program Include:

• Module A: Supervision and Control
• Module B: Handling Customer Accounts, Trade and Settlement Practices
• Module C: New and Secondary Offerings and Corporate Finance
• Module D: Product Knowledge and Related Supervisory Considerations

Course Details

The S210 program cost $55 each session on the CE Online Program. At a local testing center the S210 program cost $100.

Participants who choose to complete this program through the CE Online Program will have 120 days to finish each session. The online option may be started and stopped giving each participant the chance to work at their own pace.

Participants that choose to complete this program at a local testing center will have 3.5 to finish. They will also be asked to sign an FINRA Data Processing Consent Form as well as paying a surcharge of $15.

Prerequisites

The S201 is required for all Supervisors/Principals.

After registration, each individual must complete the S201 CE requirement two years after passing their first securities principal exam and ever three years following. Any registered and eligible individual with an open window may complete the S201 program online.

Prep Course Outline

Our goal at the Securities Institute is to ensure that you are equipped with the skills needed to be successful. With this goal in mind we created the S201 training program. This program is designed to help you master the skills presented.

Our S201 Regulatory CE course is unlike any other. Top industry experts designed S201 with you in mind. With our training program you can further your education and skills while also meeting continuing education requirements.

The Securities Institute S201 Training Program Includes:

• 7 Hours of Video Training
• Reading Assignments
• Q&A Tests