Enhancements to the Securities Industry Continuing Education Program (CE Program)

Background

In 2018, FINRA and the Securities Industry/Regulatory Council on Continuing Education (CE Council) launched an initiative to evaluate enhancements to the CE Program. The overall goal of the program review is to reflect advances in technology and learning theory while continuing to ensure that registered persons receive timely education on the securities business and the regulatory requirements applicable to their respective functions.

The enhancements include the transition of the Regulatory Element program to a more focused and shorter learning requirement administered annually. The CE Council is also gathering feedback on the current Firm Element program and supporting resources as well as on the overlap of the Firm Element program with other firm training requirements. In addition, the CE Council is exploring program changes that would allow individuals to maintain their qualification status following the termination of their registrations by completing continuing education in an effort to address the challenges that industry professionals face when attempting to re-enter the industry after an absence.

In September 2018, FINRA published Regulatory Notice 18-26, requesting comment on enhancements to the CE Program under consideration by the CE Council. FINRA and the CE Council are reviewing the comments and suggestions received.

Summary of Actions

FINRA published Regulatory Notice 18-26, requesting comment on enhancements to the CE Program under consideration by the CE Council.