Information for Firms

How is a firm notified when its registered persons have open CE requirement windows?
Firms are able to view participants’ open windows in CRD and will also continue to receive email notifications for the 90, 60, 30 and 10 days prior to the end of their 120-calendar-day windows for participants who have not yet satisfied their CE requirement.
How does a CE Online session appear in CRD?
Firms have the capability to view participants’ progress in satisfying their CE requirement by viewing their records in CRD, which have been expanded to show “Web Delivery” under “Vendor” and will display the date when an individual last accessed the program. The information in CRD will be updated to reflect a participant’s progress, including the number of successfully completed modules to date, under “Appointment Status.” Participants must show proficiency in four modules to complete their Regulatory Element requirement.
What does CE Online cost?
The fee for a CE Online session is $55, which will be charged to the firm’s account upon completion of the program by participants. 
Will firms continue to receive quarterly firm reports from Report Center?
Yes, at this time, FINRA will continue to provide these quarterly reports, which compare the CE session results of the members of each firm in an aggregated format with the industry results.
How has CE Online affected individuals who were previously granted foreign deferrals?
With the availability of CE Online, this deferral process has been discontinued. No new foreign deferrals will be granted, and individuals who have received foreign deferrals in the past are now required to take CE Online when their Regulatory Element window opens.
Does FINRA collect IP addresses of participants?
An IP address, which stands for internet protocol address, is a unique identifying number assigned to every computer that uses the internet. When you initiate a CE Online session, the system will automatically log your computer’s IP address. Logging the IP address is essential for FINRA in tracking and identifying potential network abuse or security breaches by unauthorized individuals.