Continuing Education Regulatory Element Report

FINRA publishes a Continuing Education Regulatory Element Report through the FINRA Report Center. The report is available on a quarterly basis for firms that have at least one registered person sit for an S101, S201, S501, S901 or S106 Regulatory Element CE session. It allows firms to access their average scores for the S101, S201, S501, S901 and S106 CE sessions and provides easy comparison of the firm's performance in each session module against the rest of the industry. In addition, each quarterly report is stored for a three-year period so that firms can track performance over time.
 
FINRA will produce reports each quarter for any firm that has at least one representative sit for an S101, S201, S501, S901 or S106 Regulatory Element CE session. Individuals who wish to access this report need permission to view Online Learning Reports on the Report Center. Individuals who do not already have access to the Report Center, and users who need to update their account to gain access to the Online Learning Reports, should consult their firm's Report Center Account Administrator or Super Account Administrator. Super Account Administrators who need assistance updating their own accounts can view

online instructions.

 

For questions or help, contact the Report Center administrator.

Last Updated: 12/10/2013