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Continuing Education (CE) Obligations

Get information on the CE obligations and statuses within your firm by logging into FINRA Gateway, clicking on the Reports tab, and selecting one of the available CE templates.

Available CE Templates

The following templates were created as starting points for CE obligation tracking and reporting. Templates can easily be customized to suit your specific reporting needs.

Template Name

 

Template Content

CE Download *

Registered representatives at your firm with CE statuses of SATISFIED, REQUIRED or CEINACTIVE. Replaces CE Download in Classic CRD Reports.

CE Approaching Requirement *

Registered representatives at your firm with a CE requirement window beginning within the next seven days. Easily change dates to forecast different CE requirement beginning windows.

CE Currently Required *

View registered representatives who have a CE requirement window ending within the next 30 days. Easily change dates to forecast different CE requirement ending windows.

CE Satisfied *

Registered representatives at your firm who satisfied a CE obligation within the past 15 days. Easily change dates track CE satisfaction rates at your firm according to your needs.

CE Inactive *

View registered representatives that did not complete their CE requirements on time and whose registrations are now inactive.

CE 2-Year Termed *

View individuals at your firm who are CE 2-Year Termed.

Individuals by CE Status

Consolidated view of all CE-related information presented in a nested data structure. Shown grouped by CE status.   

Individuals with an Upcoming CE Obligation (to be deprecated)

Individuals at your firm with an upcoming CE obligation. We recommend using the CE Approaching Requirement template instead.

CE in Progress (to be deprecated)

Registered individuals with CE in-progress. We recommend using CE Online instead.

* Reference the CE Data Dictionary for data details. If not marked with an asterisk, reference the Individual Data Dictionary for data details.

Customized CE Report

You can customize any template in FINRA Gateway Reports to meet your reporting needs.

For this example, open the CE Satisfied template to start. You may need to use the in-page scrollbar and scroll down to see the template.


Unless someone at your firm satisfied CE in the past 15 days, the template will be empty when you open it. If want to know who satisfied CE at your firm in the past quarter, you can easily adjust the time range of the template by clicking on the CE Event Date filter tag at the top of the page.


Clicking on the CE Event Date opens the filter settings for the date range.


To show individuals at your firm who satisfied their CE obligation in the past quarter, click the Quarters tab. Click Apply Filter. Click Done.


Now the template will show you individuals at your firm who completed CE in the past quarter. You can save this view as a custom report using the Save tool.

Click the Save tool.


Provide a name and click the Save button.


The name of the view will change to the name you provided.


When you return to the Reports tab, you will see the view you just saved under the My Custom Reports section.