For the Public
FINRA Data provides non-commercial use of data, specifically the ability to save data views and create and manage a Bond Watchlist.
For Industry Professionals
Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks.
For Member Firms
Firm compliance professionals can access filings and requests, run reports and submit support tickets.
Financial Learning Experience™ (FLEX™) is a centralized continuing education (CE) platform that provides e-learning content that firms have the option to leverage for their Firm Element or other training needs.
By delivering Firm Element training via the FLEX platform, your learners will be able to take their training directly from their FinPro account.
Currently, the platform includes courses from FINRA’s e-learning catalog. FINRA plans to expand the offering in the future to include courses from other CE content providers in the financial and securities industry. Additionally, FINRA plans to expand the course offerings to include content that may satisfy other CE training requirements such as Investment Adviser Representative CE (IAR CE).
The platform will provide firms with direct access to view, assign and track CE training for their representatives through three delivery methods:
Firms can choose between two types of licenses.
Billing will occur quarterly through E-Bill invoices based on a firm’s license type and consumption.
Email [email protected] to learn more.
FINRA offers a variety of interactive online courses that provide an affordable and convenient solution for Firm Element and other training. Courses are available on a variety of topics relevant to individuals in the securities industry including AML, firm operations, communications with the public, sales practices, and product knowledge, among others.
Course content focuses on industry rules and regulations, best practices, and other core subject knowledge. Scenarios and other assessments throughout the courses give learners the chance to apply the material to common situations. Many courses also have the option for users to take an exam at the end of the course to test their knowledge of the course content.
FINRA e-Learning Courses can also be purchased separately through the following training content providers.
Note: Use of FINRA's e-Learning courses does not guarantee compliance with regulatory requirements or create a safe harbor from regulatory responsibilities.
FINRA's e-learning library offers training on a range of compliance topics, including anti-money laundering, communications with the public, cybersecurity, and senior investor issues, among others — with several courses offering CFP® CE credits (0.5 – 2.0 CE credits per course).
Earn CFP Credits:
Depending on which method you choose to purchase your CFP® course, either FINRA or the vendor will report your credits to the CFP® Board upon course completion.
1 Certified Financial Planner Board of Standards Inc. owns the certification marks CFP®, CERTIFIED FINANCIAL PLANNER™, CFP® (with plaque design) and CFP® (with flame design) in the U.S., which it awards to individuals who successfully complete CFP® Board's initial and ongoing certification requirements.
New courses are added to the FLEX catalog on a quarterly basis. Bookmark this page to view the latest offerings as well as announcements pertaining to system upgrades and enhancements.
New Firm Element Courses – April 2025
This course focuses on the requirements of the Bank Secrecy Act (BSA) and common red flags of money laundering that may be present in customer interactions and transaction reviews.
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This course provides learners with updates on current regulatory concerns surrounding products. Learners will also be provided with effective practices for registered persons and supervisors.
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This course provides learners an opportunity to get a better understanding of investors who entered the investment market during the pandemic. Learner’s will discover this segment of investor’s motives, investment knowledge and preferred engagement styles.
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This course reviews basic anti-money laundering (AML) program requirements and established practices for creating and maintaining a robust AML program, with a focus on detecting and reporting suspicious activity. It also focuses on current industry trends and the consequences of failing to identify red flags of suspicious activity.
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This course will provide learners with updates on select industry priorities, including FINRA findings and effective practices, resources to stay abreast of industry priorities and methods for obtaining these resources.
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This course provides information that can help learners understand the changing investor landscape and financial capability among U.S. adults. It examines possible effects of the pandemic as well as data on investor practices, knowledge and information sources.
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This course allows learners to interact with a key resource for staying current with trends in the regulatory landscape, review important reminders and practice making decisions regarding registered persons’ actions.
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This course will explore common compliance obligations—and areas of potential risk— as highlighted by actual enforcement actions by FINRA from the past year. Using these events, the course will explore registered persons’ obligations to their broker-dealers, their customers and to FINRA, as well as the relevant rules and regulations that underpin them.
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To gain access to the FLEX dashboard within FINRA Gateway for the first time to subscribe to FLEX, please contact your firm’s Super Account Administrator (SAA). The Accessing FLEX on FINRA Gateway Quick Reference Guide provides additional instructions if needed.
Once granted access to the dashboard, the Firm CE Admin can take the following actions. For further instructions, please view the hyperlinked Quick Reference Guides:
For any questions, please contact [email protected].
Persons associated with member firms who have subscribed to the FLEX platform will have access to the their assigned courses via Financial Professional Gateway (FinPro) using the “Take Firm Element CE” link in the Actions (Quick Links) section at the top right.
Please refer to the FLEX User Guide for detailed instructions.
Guides for FLEX Administrators
Guides for FLEX Learners
Additional Support