Information for Participants
Registered persons who have an open CE window requirement are considered eligible for the S101, S106, S201 and S901 programs beginning January 4, 2016.
You will be able to access the CE Online Program from this page by clicking on the red button at the top right entitled, "LOG IN TO THE CE ONLINE PROGRAM," or at ceonline.finra.org.
Consistent with the Regulatory Element requirements, registered persons must complete CE two years after their initial securities registration and every three years thereafter. You will be able to begin your CE Online session immediately once your 120-calendar-day window opens.
Please check with your firm to determine when the 120-calendar-day CE window opens. If your CE window for the S101, S106, S201 or S901 programs is open on or after January 4, 2016, you may begin your online session.
The FINRA CE Online System™ will be available during core business hours, Monday through Friday from 8:00 a.m. to 8:00 p.m. EST with full support. Outside of these hours the system will be available with limited support. Notice will be provided when the system is unavailable for scheduled maintenance.
On This Page
- Scheduling your Session
- Logging In
- Taking your Session
- After your Session
- Safeguarding your Information
Scheduling your Session
- I scheduled an appointment at a testing center to complete my CE prior to July 1st, 2016. Should I cancel the testing center appointment and take my CE session online?
- You can keep your testing center appointment through June 30th, 2016. Appointments scheduled after June 30th, will be canceled. At any time, the Regulatory Element is available to be completed online within the 120-calendar-day window.
- What if I recently completed my CE session at a testing center?
- If you completed your CE Regulatory Element session at a testing center, then you have fulfilled your CE requirement. Your next opportunity to take the CE Online session will be in three years.
- What if I changed jobs during my 120-calendar-day CE requirement window and already started, but did not complete, my CE Online session?
- If your session was incomplete when you left your firm and your 120-calendar-day window is still open, those results from the incomplete session will not carry over to your new firm. You will have to begin a new session in order to fulfill your CE requirement. Please check with your firm’s CE contact to confirm the completion status of your CE requirement.
- What should I do if I need ADA special accommodations?
- All participants are prescribed a 120-calendar-day period to complete their CE Online session. FINRA has eliminated the 3½-hour time limit, thereby allowing you to progress at your own pace during your 120-calendar-day window. If you believe you will be unable to complete your session using your existing technology and are in need of accommodations, please review the information on the Accommodations for CE Online Participants page or contact FINRA Candidate Services at (800) 999-6647 option #2. Support is available from 8 a.m. – 6 p.m. Eastern Time (ET) Monday through Friday. FINRA’s Special Accommodations team will evaluate your request as quickly as possible.
- How does the log in process work for CE Online?
- You will be able to access the CE Online Program from this page by clicking on the red button at the top right entitled, "LOG IN TO THE CE ONLINE PROGRAM," or at ceonline.finra.org. You will log in using your first name, last name and CRD number.
- Before the CE Online session will launch, you will be required to acknowledge the FINRA Data Privacy Statement and agree to the Rules of Conduct.
- The system will randomly request that you enter either the first five or last four digits of your Social Security number and date of birth. This information must match information in CRD; otherwise, you will not be able to gain access. If you enter information incorrectly three consecutive times, a 30-minute lockout period will occur.
- CE sessions will time out after 30 minutes of inactivity, at which point you will be required to log in again to continue with your session.
- What is my CRD number?
- A CRD number is a unique number assigned by the FINRA CRD system to every registered individual. Please contact your firm if you do not know your CRD number, or you may look it up in BrokerCheck®.
- What does CE Online cost?
- The fee for a CE Online session will be $55, which will be charged to the firm’s account upon completion of the program by participants. Sessions taken at a testing center for the S101, S106, S201 and S901 programs will remain at $100 per session.
- I registered via U10. How do I log in to CE Online?
- Individuals who registered for CE via U10 are provided a unique identifier (U10 ID). They must input this unique identifier in the CRD Number/U10 ID column.
- Why do I need to select the "I am not a robot" option on the screen?
- By tracking a participant’s mouse movement, the reCAPTCHA software is used to confirm that an actual person, rather than a robot, is attempting to log in to the FINRA CE Online System™. CE Online participants must identify a common object among several pictures. If the object in the pictures is not easily identified, select the refresh button until a familiar object is presented. There is also an audio option available.
Taking your Session
- Can I use my tablet computer or mobile device to complete the session?
- No, tablet computers and mobile devices are not currently supported. However, we plan to support these devices in future releases.
- What is bookmarking and how does it work?
- As you progress though the session and complete the various activities, the system will automatically save your last location and track the number of modules that you have completed. If you choose to complete the CE Online Program in multiple occasions over the course of your open window, the system will bookmark your place. You do not have to take any action to save your session. When you resume the session, you will continue where you left off. Your firm will have the ability to monitor your progress and completion through CRD.
- If I start my session on one computer, can I complete it on a different computer?
- Yes, because the system will bookmark your session, when you log in again—even from a different computer—you may continue where you left off once you have completed the registration process and ID verification. The system will only allow one computer to be active with your session at any given time.
- How will my firm know whether I have started my CE Online session?
- Your firm may view your CE window and session status as it updates in CRD. The firm will also receive email notifications on the status of your CE session—whether it is in progress, completed or if you have become CE Inactive.
- Is it possible to time out and receive an incompletion?
- No, CE Online is not timed but must be completed within your 120-calendar-day window. If your CE Online session is in progress but you do not satisfy your Regulatory Element requirement before your 120-calendar-day window closes, you will become CE Inactive and will be required to restart the CE session from the beginning.
- What happens if I do not answer enough questions correctly to demonstrate a minimal amount of proficiency?
- In a CE Online session, participants will cycle through cases within the same module until proficiency is achieved within the 120-calendar-day window without incurring any additional fees. If you have not completed all of the modules by the close of your 120-calendar-day window, you will become CE Inactive. You will not receive any credit towards the completion of your Regulatory Element for modules that you completed before your 120-calendar-day window closed, and you will have to retake the entire program.
- Please note that FINRA will not extend any Regulatory Element windows.
- Can I add or change my business email address after I’ve begun my CE Online session?
- Yes, you will have the opportunity to update your business email address throughout the CE Online session by returning to the launch session screen.
- What happens if I become CE Inactive?
- Participants become CE Inactive after the 120-calendar-day window closes and their Regulatory Element requirement has not been satisfied. Registrations of individuals who remain CE Inactive for two years will be administratively terminated, and they will need to requalify.
- Even if your CE session is in progress and your 120-calendar-day window closes, you will become CE Inactive and will be required to restart the CE session from the beginning. Until you complete your CE session, you will remain CE Inactive and cannot act in a registered capacity or receive compensation for activities that require registration.
After your Session
- Upon completion of my CE session, when will FINRA update my CRD record?
- FINRA will post participants’ completion status updates to CRD daily. If your results are not posted to CRD within two business days, please contact the CE Online Support Team at (240) 386-4321.
- Can I print my certificate of completion?
- Yes. Although CRD serves as the official record for your completion status, FINRA encourages you to keep a copy of the certificate of completion for your records. You will have the option to save and/or print your completion certificate once you have fulfilled your CE requirement. During the initial registration process after your identity has been verified, you will be required to enter your business email address. A copy of your certificate of completion will be emailed to the address that you provided.
- How can I get a copy of my certificate of completion if I do not print it out at the end of my session?
- By providing your business email address, you will receive, via email, a PDF copy of the certificate. You will be able to save this file to your computer and/or print it. Please contact the CE Online Support Team at (240) 386-4321 with any additional questions.
- I did not receive my certificate of completion. Can FINRA resend it?
- Please check for an email from Do-Not-Reply_CEOnlineProgram@finra.org in the junk email or spam folder of your mailbox. The emailed copy of the certificate might have been delivered there. If you still have not received a copy of the certificate upon session completion, please contact the CE Online Support Team at (240) 386-4321 to request a copy.
Safeguarding your Information
- Why do I need to provide my Social Security number (SSN) and date of birth during login?
- You will be required to provide either the first five or last four digits of your Social Security number and date of birth to validate your identity when fulfilling the CE Regulatory Element. Note: For security purposes, you will not be asked to provide your full SSN.
- What information is required to verify my identity if I am a participant without a Social Security number (SSN)?
- FINRA is requiring that participants without SSNs enter their date of birth for verification purposes.
- How is FINRA using my business email address?
- FINRA will only use your business email address to send you a copy of the certificate of completion following the CE Online session. Your business email address will not be used for any other purpose.
- How is FINRA safeguarding my information?
- Your information will be transmitted to FINRA using an encrypted connection, which will ensure that your information is safe and secure. In addition, the application will mask the information as you type to prevent someone from seeing it.
- FINRA asks for either the first five digits or the last four of your Social Security number. FINRA is taking every measure possible to safeguard the information that you provide. It will be used for validation purposes only by matching it against CRD. It will then be discarded and will not be stored.