Continuing Education (CE)
Qualification Exam and CE Window Extensions Associated With Hurricane Ida
Due to area power outages, network unavailability and property damage, individuals located in Louisiana impacted by Hurricane Ida (declared as a "major disaster" area) may have significant difficulty in completing the Regulatory Element of CE within their 120-day window. For similar reasons, individuals may not be able to take a scheduled qualification exam (which must be taken within 120 days of opening an exam window). As a result, for impacted exam candidates and registered persons who have an exam or a Regulatory Element window due to expire between August 27, 2021, and September 30, 2021, FINRA, NASAA, MSRB and NFA will extend their windows to October 31, 2021.
In conjunction with other self-regulatory organizations and the Securities Industry/Regulatory Council on Continuing Education, FINRA administers the continuing education (CE) program for the securities industry. (See FINRA Rule 1240.) CE consists of two mandatory programs: the Regulatory Element and the Firm Element.
On This Page
- Regulatory Element
- Firm Element
- IAR CE
- 2021 Q2 Firm Element Advisory (FEA) is now available on the CE Council website.
- Retired CE Regulatory Element Report
As of Monday, March 8, 2021, FINRA no longer publishes the Continuing Education (CE) Regulatory Online Learning Report accessed via the Report Center. Due to recent system updates made to CE Online, CE participants are now required to answer each assessment question correctly in order to complete their Regulatory Element training modules. Therefore, the report’s performance comparison data between a firm’s participants and the industry is no longer relevant. The following information and data resources may assist firms in the development of their Firm Element training plans:
The Regulatory Element of FINRA's 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.
Please see the content outlines below for information about each of the Regulatory Element programs.
Participants satisfy their CE requirement through an online CE platform during a 120-calendar-day CE window. The platform is available by logging into the Financial Professional Gateway (FinPro).
Support for FinPro and the CE platform is available during core business hours, Monday through Friday from 8 a.m. to 8 p.m. ET. Notice will be provided when the systems are unavailable for scheduled maintenance.
FINRA has made every effort to make CE Online 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.
The Firm Element of the FINRA CE Program requires broker-dealers to establish a formal training program to keep covered registered persons up to date on job- and product-related subjects. In planning, developing and implementing the Firm Element, each broker-dealer must consider its size, structure, scope of business and regulatory concerns.
Each broker-dealer must administer its Firm Element CE Program in accordance with its annual Needs Analysis and Written Training Plan, and maintain records documenting the content and completion of the program.
FINRA publishes the Securities Industry Regulatory Council’s Firm Element Advisory, which identifies and recommends pertinent regulatory and sales practice issues for firms to consider including in their Firm Element training plans. Learn more about Firm Element guidelines with our Guide to Firm Element Needs Analysis and Training Plan Development.
To learn more, visit the Securities Industry/Regulatory Council on Continuing Education (CE Council) website. It contains a wide range of CE information and publications regarding the Regulatory Element and Firm Element.
If you have questions about FINRA Rule 1240 and the CE Program or require assistance, please contact the FINRA Call Center at 240-386-4040.
See also: E-Learning Courses from FINRA
A registered representative who is also registered as an IAR may be subject to IAR CE requirements beginning in 2022. For information about IAR CE, please visit NASAA’s IAR CE page.
- FINRA Gateway – Changes to Form U4 User Interface and Access to Continuing Education
- FINRA Requests Comment on a Proposal to Implement the Recommendations of the CE Council Regarding Enhancements to the Continuing Education Program for Securities Industry Professionals
Due to the coronavirus pandemic (COVID-19), FINRA is providing temporary relief for member firms from rules and requirements in the Frequently Asked Questions below. The relief provided does not extend beyond the identified rules and requirements. FINRA will continue to monitor the situation to determine whether additional guidance and relief may be appropriate. As coronavirus-related risks decrease, member firms should expect to return to meeting any regulatory obligations for which relief has been provided.March 24, 2020
- PodcastThe CE Council, FINRA and other CE Council members are working together on the biggest change to continuing education for broker dealers in 25 years. On this episode, we hear both the firm and regulatory perspective as we learn what will be changing in the years ahead.March 03, 2020
- Interpretive LetterDuring the period a registered representative is inactive for failure to complete the Regulatory Element, a member may pay the registered representative fees or commissions earned by the representative prior to the period of inactivity unless the member has a policy that prohibits it. However, a member may not pay the inactive registered representative commissions on securities sales that occur during the period that the registered representative is inactive.October 02, 2001
- Compliance Tools
Continuing Education Regulatory Element Report
The CE Regulatory Element Report is published each quarter for any firm that has had at least one representative take a Regulatory Element CE session during the quarter. The report provides information about the firm's performance as well as industry performance during the quarter for comparison.