Securities Industry Continuing Education Program
For brokerage professionals involved in the options business, new regulations
state that you need to meet the Regulatory Element and the Firm Element requirements.
The Regulatory Element requirements are satisfied by prescribed training set
forth by the securities industry. For the Firm Element portion, member firms are required to conduct
a "needs assessment" to guide them in establishing formalized training plans which answer their
own unique requirements.
Because of its preeminence in the field of options education, The Options Institute
is in a unique position to offer an extensive combination of solutions to answer each firm's responsibilities
and needs under the Securities Industry Continuing Education Program. Emphasis has been placed on creating options
training which can be incorporated into member firm plans in several ways. All education and training offered by
The Options Institute cover the areas required under continuing education guidelines including descriptive
information, pricing techniques, risk factors, and factors affecting an option's liquidity, callability,
convertibility, and suitability.
Each member firm has unique needs, and the Institute can offer a broad array of resources to
customize training and offer a comprehensive solution to a complex problem. Live classroom delivery, written
material and computer-based education are all available to assist retail brokers, supervisors and other "covered"
personnel in developing and maintaining adequate options knowledge while meeting the industry guidelines for
continuing education. The Options Institute would welcome the opportunity to work with you and your firm to
create a solution tailored to your specific continuing education requirements.