Federal Register #SR-FINRA-2026-023

SEC notice on FINRA’s proposed senior-leader continuing education program

The SEC notice describes FINRA’s proposal for a voluntary interim continuing education program for senior leaders at member firms. - Government agency: Securities and Exchange Commission (SEC). - Organization proposing the change: Financial Industry Regulatory Authority, Inc. (FINRA). - Proposal: Establish a voluntary Regulatory Element training program under FINRA Rule 1240.03, with a related amendment to Rule 1240(a)(6). - Training: Annual regulatory education tailored to senior leaders’ roles, delivered by each participating firm’s chief compliance officer or another senior compliance officer; firms would retain completion certifications. - Term and evaluation: The proposed interim program would run for just over two full years, during which FINRA would evaluate participation and effectiveness. - Procurement status: This is a regulatory notice, not a procurement opportunity. No products, services, quantities, or part numbers are requested.

Description

FINRA proposes to adopt Rule 1240.03 and make a conforming amendment to Rule 1240(a)(6), creating a voluntary interim Regulatory Element continuing education program for senior leaders at member firms. The program would provide annual training on regulatory topics framed for senior leaders’ roles and responsibilities, with participating firms’ chief compliance officers or other senior compliance officers delivering the training. It would operate for just over two full years, and FINRA would evaluate demand and whether it meets the program’s goals. The notice solicits comments on the proposed rule change.

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