The CE Council has created numerous resources to help firms navigate recent CE changes and create effective Firm Element training programs.
Transformation Resources
- CE Transformation Playbook
- Stakeholder Considerations
- Review of CE Findings Through Examination Program
Firm Element Resources
- CE Council Guide to Firm Element CE Programs
- Firm Element Needs Analysis Guide
- Q3 2023 Firm Element Needs Analysis Quarterly Highlights
2024-annual-regulatory-oversight-report
The Securities and Exchange Commission’s Division of Examinations today released its 2024 examination priorities to inform investors and registrants of the key risks, examination topics, and priorities that the Division plans to focus on in the upcoming year. This year’s examinations will prioritize areas that pose emerging risks to investors or the markets in addition to core and perennial risk areas.