CE Option Designed for Senior Leaders Launches | FINRA.org

CE Option Designed for Senior Leaders Launches

November 4, 2026

Features

  • CE Option Designed for Senior Leaders Launches  
    FINRA has adopted a rule change to provide member firms with the option for their senior leaders to fulfill their Regulatory Element continuing education (CE) requirements through an interim program framed around their unique, firm-wide perspective. The voluntary program, which began on Nov. 2 and will operate for just over two years, responds to feedback from member firms on our FINRA Forward workplace rule modernization notice last year. While the program satisfies our annual Regulatory Element CE requirement, the FINRA-created content covers regulatory topics relevant to senior leaders such as firm-wide risks, control systems, and enterprise-level considerations. Further, the training is delivered by the member firm’s chief compliance officer or other senior compliance officer rather than through FINRA’s online CE platform. More information is available here.
     
  • Notice on 2026 Renewal Program  
    Preliminary Statements for firm, individual, and branch renewals for 2027 will be posted in E-bill on Nov. 9, while Final Statements will be available on Jan. 2, 2027. Full payment of the Preliminary Statements by Dec. 7 is mandatory. Late payments will incur fees and may result in business ineligibility in certain jurisdictions. Firms can submit post-dated termination filings before Preliminary Statements are published to indicate registrations terminating on Dec. 31, 2026. This eliminates fees for registrations not needed in the coming year. Please see Regulatory Notice 26-22 for more details. 
     
  • Register for Tomorrow’s Large IPO Readiness Webinar
    Is your firm ready for the operational, capital, and regulatory demands of a large IPO? Join FINRA for a webinar for member firms engaged in—or considering—firm commitment underwritings. This session, Nov. 5, 2-2:30 p.m. ET, will explore topics including adding an underwriting business line; capital planning and subordinated loans; and funding, liquidity, and reserve computations. Register here.
     
  • New Podcast Episode: Capital Formation 
    In the latest episode of FINRA Unscripted, we explore FINRA’s support of capital formation, from recent rule amendments reducing friction for member firms, to new proposals expanding market access, and fresh data helping the entire ecosystem operate more effectively, all while keeping investor protection front and center. 
     
  • Protect Your Accounts From Phishing, Smishing, and Vishing Scams 
    A new Investor Insights describes the hallmarks of phishing, smishing, and vishing scams, and offers tips on how to avoid becoming a victim. The article notes that scammers are increasingly incorporating GenAI elements into their schemes, making fraudulent communications difficult to distinguish from authentic ones. Member firms are welcome to share this article, and all Investor Insights, with customers. 
Regulatory Reminders
  • Renewal Program: Preliminary Statements for firm, individual, and branch renewals for 2027 will be posted in E-bill on Nov. 9, while Final Statements will be available on Jan. 2, 2027. Full payment of the Preliminary Statements by Dec. 7 is mandatory. 
       
  • Order Allocation Procedures: The rule change to eliminate the requirement that late allocations of bulk investment adviser orders be approved by a firm principal will take effect Nov. 16.
       
  • Nominations for SFAC, Regional Committee Seats: FINRA is seeking candidates to fill vacancies on our Small Firm Advisory Committee (SFAC) and Regional Committees. Individuals eligible for the positions must submit an SFAC or Regional Committee candidate profile form to FINRA’s Corporate Secretary by Nov. 19.
       
  • TRF Operating Hours: FINRA’s Trade Reporting Facilities (TRFs) will extend their operating hours. Starting Dec. 6, they will operate from 9 p.m. ET on Sundays through 8 p.m. ET on Fridays, with a one-hour technical pause 8-9 p.m. ET, Mondays through Thursdays, excluding holidays.
     
  • Rule 5110 Amendments: The changes to improve and clarify parts of Rule 5110 regulating underwriting compensation will take effect Dec. 21.
     
  • Waiting Periods for Qualification Exams: The rule change to shorten the waiting periods for retaking failed FINRA qualification examinations will take effect Jan. 19, 2027.
     
  • Outside Activities: New Rule 3290, which streamlines outside activities requirements, will take effect Oct. 25, 2027.

Disciplinary Actions

  • FINRA publishes disciplinary actions to remind members of specific conduct that violates FINRA rules and may result in disciplinary action. The October 2026 Monthly Disciplinary Actions are available here.
Education and Compliance Programs

FBI Cyber & Financial Crime Threat Briefing Series: West | Nov. 4 | Virtual Event

FINRA Virtual Registration Systems Foundation | Nov. 4-5 | Virtual Event

Webinar: Large IPO Readiness | Nov. 5 | Virtual Event

FINOP Focus Webinar: Annual Reporting Requirements | Nov. 11 | Virtual Event

Webinar: Financial Intelligence Fusion Center (FIFC) for Small Firms | Nov. 12 | Virtual Event

FINRA Certified Regulatory and Compliance Professional (CRCP)® Program Week II | Nov. 15-20 | In-Person Event | Washington, DC

Annual Conference | May 11-13, 2027 | Hybrid Event | Washington, DC

Crypto Applied Learning Program | June 8-10, 2027 | In-Person Event | Washington, DC

Crypto and Blockchain Education Program Foundational E-Learning Courses | Self-Paced

Resources

Member Firm Hub – The latest guidance, resources, educational opportunities and more.

FINRA Forward – An overview of our work in action for becoming more effective and efficient at pursuing our mission is available on FINRA.org. The webpages include information and videos about our efforts to modernize our rules, empower member firm compliance, and combat cyber and fraud threats.

Quarterly Regulatory Policy Agenda – An overview of our current priorities for significant regulatory policy initiatives.

Comment Process – On-demand webinar on how to provide comments on FINRA Forward proposals, as well as the impact of comment letters and how they are used. 

Involvement and Election Process – How to engage with FINRA to help carry out our mission of protecting investors and safeguarding market integrity. Members can contribute their unique perspectives and skillsets with rotating terms on FINRA committees and other opportunities. Submit an indication of interest to be considered to join a FINRA advisory committee or speak at a FINRA event by clicking here.

Membership Application Program (MAP) Tools – Guidance and other resources to help current members prepare for their continuing membership application (CMA) and new applicants prepare for a new member application (NMA).

FINRA Unscripted – A monthly podcast that discusses a range of topics important to the securities industry.

Investor Insights – Feature articles on timely topics for investors, which firms are welcome to share with customers.

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About FINRA
FINRA is a not-for-profit organization dedicated to investor protection and market integrity. FINRA regulates one critical part of the securities industry—member brokerage firms doing business with the public in the U.S. FINRA, overseen by the SEC, writes rules, examines for and enforces compliance with FINRA rules and federal securities laws, registers broker-dealer personnel and offers them education and training, and informs the investing public. In addition, FINRA provides surveillance and other regulatory services for equities and options markets, as well as trade reporting and other industry utilities. FINRA also administers a dispute resolution forum for investors and brokerage firms and their registered employees. For more information, visit www.finra.org.
Regulatory Contacts
FINRA By-Laws require member firms to maintain an email account on behalf of their executive representatives, to facilitate firm notification of important information. In light of this, requests from executive representatives to be removed from this email list cannot be honored.
 
Firms wishing to change the name or email address of their executive representative or designated assistant should use the FINRA Contact System: http://www.finra.org/FCS.
 
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