SEC Approval of In-Firm Delivery of the Regulatory Element of the Continuing Education Requirement

On August 1, 2001, the Securities and Exchange Commission approved amendments concerning the MSRB’s continuing education requirements. The amendments allow dealers to provide in-firm delivery of the Regulatory Element of the continuing education requirement as an alternative to having persons take the training at vendor locations.  For the text of the amendments, see “In-Firm Delivery of the Regulatory Element of the Continuing Education Requirement,” MSRB Reports, Vol. 21, No. 2 (July 2001) at 43.

August 8, 2001