The Securities Industry/Regulatory Council on Continuing Education, of which the NYSE is a member, launched an informational Web site on Friday, Oct. 26, to increase awareness and provide easy access to developments in the securities industry continuing-education programs. The site, which is geared toward broker-dealers, compliance officers and training officials, facilitates access to current events, publications and reference materials on continuing education.
The Council began developing the site in May 2000 to provide a resource to the industry for regulatory and educational standards for securities professionals. "The Council is committed to using every available tool to ensure the highest standards of compliance in this industry," said Don van Weezel, vice president, Regulatory Affairs, NYSE and a member of the council.
The Web site is located at www.securitiescep.com and can also be accessed through the NYSE Web site at www.nyse.com/continuinged and www.nasdr.com/2640.htm. Features of the site include:UL>
A Firm Element Organizer that aids member firms in the development of their Firm Element training plans. The Firm Element Organizer can assist in analyzing and identifying training needs and draw potential training materials from a database of information that is updated daily;
E-mail Alerts of newly published information relative to new rules, regulations, and other subjects pertinent to securities industry continuing education. Members who want to receive CE updates can register for these alerts through the site and select notification on specific subject areas;
ยทAccess to retired scenarios from the Regulatory Element Program are, for the first time, available to interested parties in the securities industry. These scenarios have completed their three-year cycle in the Regulatory Element Program and are available on CD. They may be used for development of Firm Element initiatives or other industry-related training and compliance needs. A catalogue of the scenarios is available on the site and may be ordered for a nominal fee, and;
A Contact Us feature that allows the user to submit questions regarding the Regulatory and Firm Element Continuing Education programs.
The Securities Industry/Regulatory Council on Continuing Education is comprised of [up to] 15 industry members from broker-dealers, representing a broad cross section of industry firms, and six representatives from self regulatory organizations. The Council also includes liaisons from the Securities and Exchange Commission and the North American Securities Administrators Association (NASAA).
