New York Stock Exchange Regulation, on behalf of The Securities Industry on Continuing Education, has launched netCEP, a web-based application intended to aid continuing education and general training.
netCEP provides both individuals and the company’s member firms with secure, on-demand, online access to a library of instructional materials that serve as a resource for Regulatory Element preparation, Firm Element planning and general rule, product and compliance training.
With desktop access to the multi-media scenario library and learning management system, securities industry professionals can update their knowledge on rules governing a wide range of practice areas. These subjects include suitability and sales practices, breakpoints, options, public communications, proper handling of customer accounts, business conduct, and trade and settlement practices.
The material in the scenario library is continuously updated to reflect current industry regulations.
According to the company, an individual can subscribe at a cost of $25 per year and access netCEP on their own to prepare for a required Regulatory Element session, or for personal training and development.