Continuing Education (CE) Online
Web Delivery of the Continuing Education Regulatory Element Program
In response to positive feedback following an extensive securities industry outreach and a successful pilot program, FINRA has transitioned the delivery of the Continuing Education (CE) Regulatory Element to an online format called the CE Online Program. The CE Online Program provides participants with the flexibility to satisfy their CE Regulatory Element requirement from a home or office computer—anytime, anywhere.
Note: Effective July 1, 2016, all Continuing Education (CE) Regulatory Element programs will no longer be available at Pearson VUE or Prometric testing centers. For additional details, review Information Notice 5/16/16. Beginning on that date, participants will need to satisfy their CE requirement exclusively via the CE Online Program, unless a disability that falls within the Americans with Disabilities Act (ADA) prevents them from doing so (review FINRA's CE Online Delivery Accommodation page for more information).
Participants complete a computer-based session consisting of four modules, and must demonstrate proficiency in order to satisfy the CE requirement.
The formats of the S106, S201 and S901 programs—including rollovers and resources—have not changed.
The S101 Program has been restructured to include a fourth, personalized module that will allow the participant to select one of five job functions (Institutional Sales, Trading, Operations, Retail Sales and Investment Banking/Research) specific to his or her responsibilities as a registered person. An Information Notice has been published for the along with a related content outline.