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
Video Tutorials:
Existing Webcasts Converted to an E-learning Format
Conferences:
Spring Securities Conference 
May 21-23, 2008
Small Firm Conference
June 19, 2008
Boot Camp:
Compliance Boot Camp
Classroom Learning:
Responding to Regulatory Inquiries and Preparing for Regulatory Examinations
June 10-11, 2008
Anti-Money Laundering
June 18, 2008
Supervision in the Securities Industry I
June 23, 2008
Supervision in the Securities Industry II
June 24, 2008
FINRA Institute at Wharton:
Phase I: Foundation
May 11-16, 2008
Phase III: Capstone
June 1-6, 2008
Phone-in Workshops
OATS Reporting
May 8, 2008
Transaction Reporting
June 26, 2008
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