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FINRA & CE Council: Enhancing Industry Continuing Education

March 03, 2020

The biggest change to the Continuing Education program in 25 years is underway.

The CE Council, FINRA and other CE Council members are working together to transform continuing education for broker dealers with a number of proposed changes, including moving to an annual CE requirement, working to reduce duplication between the firm and regulatory elements of continuing education and providing those who leave the industry a means of maintaining their qualification.

On this episode, we hear both the firm and regulatory perspective from our guests, Jeff Freiburger, Chief Compliance Officer at Robert W. Baird and member of the CE Council, and John Kalohn, Senior Advisor to Registration and Disclosure at FINRA.

Resources mentioned in this episode:

Regulatory Notice 20-05 (Comments Due: April 20, 2020)

Letter from the 2019 Council Chair

CE Council

Key Topics: Continuing Education

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