Regulatory Element

A study guide to assist with preparation for the regulatory element S101, S106 and S901.

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Reg Element

Regulatory Element

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SKU: RegElem. Category: .

Effective October 1, 2015, the S106 and S901 can be taken through The CE Online Program at FINRA.  Effective January 4, 2016, the S101 will also be available to take online.  For more information, go to

Regulatory Element Study Guide for the General Securities Representative (S101)

Regulatory Element Study Guide for Series 6 Program (S106)

The S101 Regulatory Prep Study Guide and Practice Review was recently launched and is also recommended for the S106.

Although the program was developed specifically for the S101, S106 clients may utilize the S101 Regulatory Prep Study Guide and Practice Review to help prepare for the S106.  Being that the format, functionality, and navigation are the same for both programs, users will be given an opportunity to apply what they have learned in a format that emulates the actual Regulatory Element.

Since this program is not specifically designed for the S106, we would like to provide our clients with a quick review of what they can expect if they choose the S101 Regulatory Prep Study Guide and Practice Review to help prepare for their S106 Regulatory Element.

The S101 covers a much larger variety of products than the S106.  In particular, the S101 has a whole section devoted to New and Secondary Offerings and Corporate Finance.  S106 candidates do not need to review this material.   In addition, they do not need to review options or margin accounts.

The products that are listed on the S106 outline are:

  • Mutual Funds
  • Exchange Traded Funds (ETFs)
  • Real Estate Investment Trusts (REITs)
  • Unit Investment Trusts (UITs)
  • Variable Contracts (Annuities and Life Insurance)
  • Limited Partnerships
  • Private Placements

All of these products are discussed in the S101 course.  S106 students should concentrate on reviewing information regarding the first five (bolded) products (particularly mutual funds and variable contracts.) S101 students should review the entire package.

Regulatory Element Study Guide for the Operations Professional (S901)

Reps will become familiar with

  •      The S901 format that includes case scenarios, definitions, and questions in each
  • of four modules.
  •      The program tools that allow your rep to easily navigate through the session.
  •      The content, module topics, and Module D: self-selection
  •      How to utilize all of the educational content provided during the session.
  •      How to manage time in order to demonstrate proficiency in the 3 1/2 hour session.

Advance preparation will significantly increase your covered representatives’ ability to complete the S901 in the allotted time.

Available for 120 days from date of first access.

** After notification of your order for an online product is received, a username and password will be set up and you will receive an email with instructions for accessing the online products.  The username will NOT be the same as the one created for access to the Maggie Shine, LLC website.

Additional Information


S101, S106, S901


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