Regulatory Notice 15-28

SEC Approves Amendments Relating to Web-based Delivery of the Regulatory Element of Continuing Education

Effective Date: October 1, 2015

Executive Summary

The SEC approved amendments to FINRA rules to provide a Web-based delivery method for completing the Regulatory Element of the Continuing Education (CE) requirements, and to establish the fee for it. The amendments become effective on October 1, 2015.

The amended rule text is attached as Appendix A.

Questions regarding this Notice should be directed to:

  • Roni Meikle, Senior Director, Testing and Continuing Education, at (212) 858-4084 or roni.meikle@finra.org; or
  • Afshin Atabaki, Associate General Counsel, Office of General Counsel, at (202) 728-8071 or afshin.atabaki@finra.org.