Regulatory Notice 18-26

FINRA Requests Comment on Enhancements Under Consideration by the Securities Industry/Regulatory Council on Continuing Education

Comment Period Expires: November 5, 2018

Summary FINRA requests comment from member firms and other interested parties on enhancements to the Securities Industry Continuing Education Program (CE Program) under consideration by the Securities Industry/Regulatory Council on Continuing Education (CE Council). These 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. 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. 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.

The program enhancements that are under consideration are published on the CE Council’s website and attached to this Notice. The document includes background information, a description of the enhancements under consideration and accompanying questions. FINRA encourages member firms and all other interested parties to comment on the program enhancements under consideration, including providing specific responses to the questions. These comments will inform the CE Council’s ongoing work to enhance the CE Program. If the CE Council decides to recommend any program changes, FINRA along with other self-regulatory organizations will issue a Regulatory Notice with the specific program details and any related rule changes.

Questions regarding this Notice should be directed to:

  • John Kalohn, Vice President, Registration and Disclosure, at (240) 386-5800; or
  • David Scrams, Senior Director, Testing and Continuing Education Department, at (240) 386-5950.
The views, expressions, findings and opinions expressed in the comments on this Web page are solely those of the author(s) and FINRA accepts no responsibility for the content of the comments: 
DateCommenterFormat - Size
9/27/2018IBN Financial Services, Inc.PDF - 109.45 KB
10/15/2018EFS AdvisorsPDF - 39.71 KB
10/30/2018Commonwealth Financial NetworkPDF - 133.29 KB
11/1/2018Vardon Capital, LLCPDF - 37.36 KB
11/2/2018The Security Traders Association (STA)PDF - 284.39 KB
11/2/2018M. E. Allison & Co., Inc.PDF - 37.7 KB
11/5/2018NARSSAPDF - 428.91 KB
11/5/2018Financial Services InstitutePDF - 107.82 KB
11/5/2018Well Fargo AdvisorsPDF - 107.56 KB
11/5/2018MassMutual Investors Services, LLCPDF - 2.01 MB
11/5/2018Fidelity InvestmentsPDF - 89.65 KB
11/5/2018Post Oak Municipal Advisors LLCPDF - 94.22 KB
11/5/2018SIFMAPDF - 190.11 KB
11/5/2018StanyPDF - 147.03 KB
11/5/2018WebCEPDF - 136.97 KB
11/5/2018ForesidePDF - 363.98 KB
11/5/2018Cambridge Investment Research, Inc.PDF - 53.77 KB
11/5/2018Securities America, Inc.PDF - 188.01 KB
11/5/2018The Association of Registration Management, Inc. (ARM)PDF - 222.1 KB
11/6/2018CFA InstitutePDF - 380.99 KB
11/8/2018NASAAPDF - 266.12 KB
7/16/2019PFS Investments Inc.PDF - 354.52 KB