Quarterly Highlights Resources

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This online format provides easier access to relevant notices and resources about the specified subjects and will be updated quarterly to keep it current and relevant. The categories, listed on the left side of this page, are expandable and may contain additional information about suitability, supervision, and educational resources.

A PDF version of the document is also available for printing and searching. It can be found on the right side of the Quarterly Highlights Overview page. 

New and Upcoming Content

New:

• FINRA Information Notice 4.19.22 (April 19, 2022): Membership Application Program Transformation

• FINRA Regulatory Notice 22-08 (March 8, 2022): Complex Products and Options

• CBOE Regulatory Circular 22-007 (March 15, 2022): Option Customer Account Approval and Supervision

• FINRA Regulatory Notice 22-11 (April 19, 2022): FINRA Reminds Firms of Their Sales Practice Obligations for Alternative Mutual Funds

Upcoming:

• FINRA Regulatory Notice 21-34 (September 28, 2021): FINRA Adopts Rules to Address Firms with a Significant History of Misconduct

Resources

• For more information visit the cecouncil.org website or contact CE Council member organizations.

• For compliance resources on issues affecting the security issue please visit FINRA Key Topics page.

• For more information on Firm Element please visit the CE Council Frequently Asked Questions page.

Historic FEA Information

FEA Materials

Firm Element Advisory - Q1 2022

Firm Element Advisory - Q4 2021

Firm Element Advisory - Q3 2021

Firm Element Advisory - Q2 2021

Firm Element Advisory - Q1 2021

Firm Element Advisory - Q4 2020

Firm Element Advisory - Q3 2020

Firm Element Advisory - Q2 2020

Firm Element Advisory - Q1 2020

Firm Element Advisory - Q4 2019

Firm Element Advisory - Q3 3019

Firm Element Advisory - Q2 2019

Firm Element Advisory - Q1 2019

Firm Element Advisory - Q4 2018

Firm Element Advisory - Q3 2018

Firm Element Advisory - Q2 2018

Firm Element Advisory - Q1 2018

Firm Element Advisory - Q4 2017

Firm Element Advisory - Q3 2017

Firm Element Advisory - Q2 2017

Firm Element Advisory - Q1 2017