Continuing Education
FINRA, in conjunction with other self-regulatory organizations and the Securities Industry/Regulatory Council on Continuing Education, administers a two-part mandatory Continuing Education Program. The program consists of a Regulatory Element and a Firm Element. The Regulatory Element requires all registered persons to take computer-based training in industry rules and regulations, on the second anniversary of their initial securities registration and every three years thereafter. The Firm Element requires broker-dealers to keep their "covered persons" – employees who deal with customers, and their supervisors – up to date on job- and product-related subjects by way of an annual firm-developed and administered training program.
More details about Continuing Education.
Registration & Qualifications
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Programs & Conferences
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As a complement to our regulatory functions, FINRA offers securities professionals some of the industry's most valuable training and education.
View our Conferences and Classroom Learning by event date.
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Upcoming Events
Conferences:
Small Firm Conference
September 23, 2008 (Chicago)
Regulation and Compliance Conference
September 9, 2008
Fall Securities Conference
October 22-24, 2008
FINRA Institute at Wharton:
Phase I: Foundation
August 17-22, 2008
Phase III: Capstone
November 9-14, 2008
Boot Camp:
Compliance Boot Camp
Classroom Learning:
Market Regulation
September 9, 2008
Ethics
September 15-16, 2008
E-Learning:
Anti-Money Laundering - Institutional: Recognizing Red Flags
Anti-Money Laundering - Retail: Recognizing Red Flags
Online Workshops:
Anti-Money Laundering: Suspicious Activity Reporting
July 15, 2008
Phone-in Workshops:
NIIDS
July 29, 2008
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