Regulatory Element of the Continuing Education (CE) Program
The Regulatory Element of FINRA's Continuing Education (CE) program focuses on compliance, regulatory, ethical and sales practice standards. Its content is derived from industry rules and regulations, and accepted standards and practices in the industry. Participants must demonstrate proficiency in order to satisfy the CE requirements. The Regulatory Element requires all registered individuals to complete a computer-based training session within 120 days of the second anniversary of their initial registration date, and every three years thereafter.
Content Outlines and Training Material
Please see the content outlines below for information about each of the Regulatory Element programs.
FINRA also provides the following tools to help participants prepare for their Regulatory Element sessions.
- Interactive Sample Case
- Video Orientation for the Personalized Programs
- Video Orientation for the non-Personalized Programs
FINRA CE Online
As of July 1, 2016, Continuing Education (CE) Regulatory Element programs are no longer available at testing centers. Going forward, participants must satisfy their CE requirement exclusively via the CE Online Program.
Registered persons with an open CE window are eligible to take their respective S101 or S201 program.
Please check with your firm to determine when the 120-calendar-day CE window opens.
The FINRA CE Online System™ will be available during core business hours, Monday through Friday from 8:00 a.m. to 8:00 p.m. EST with full support. Outside of these hours the system will be available with limited support. Notice will be provided when the system is unavailable for scheduled maintenance.
FINRA has made every effort to make the CE Online Program as user friendly as possible for all participants, regardless of physical, sensory or cognitive ability. In most cases, participants who have required accommodations in the past will no longer need to apply for accommodations when using the CE Online Program.
However, FINRA recognizes that some CE participants may require additional assistance beyond what CE Online provides. Participants or firms may choose to apply for an accommodation for reader, a recorder or both, if needed.
Call the FINRA Call Center at (240) 386-4040.