SIE Exam Question 8: Answer and Explanation

Question: 8

Annual continuing education training provided by member firms is known as__________.

• A. Firm Continuing Education
• B. Compliance Training
• C. Firm Element Training
• D. Firm Regulatory Training

Correct Answer: C

Explanation:

The annual continuing education training provided by member firms is known as Firm Element Training. Firm Continuing Education and Firm Regulatory Training are not the correct terms for FINRA continuing education. Compliance Training is a general term for employee training mandated by legislation, regulation, or policy; it is not specific to Series license holders.