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Continuing Education (CE)

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.

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Announcements

  • 2021 Q4 Firm Element Advisory (FEA) is now available on the CE Council website.
     
  • Regulatory Element CE Email Reminders Now Available
    Firms can now enable a new optional feature in FINRA Gateway's Firm Settings. Once enabled, registered securities professionals with FinPro accounts will receive auto-generated email reminders about their Regulatory Element requirement.
     

Regulatory Element

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. 

Content Outlines and Training Material

Please see the content outlines below for information about each of the Regulatory Element programs. 

FINRA CE Online

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 on FINRA’s Systems Status page when the systems are unavailable.

Testing Accommodations

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.


Firm Element

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


IAR CE

A registered representative who is also registered as an investment adviser representative (IAR) may be subject to IAR CE requirements beginning in 2022. For information about IAR CE, please visit NASAA’s IAR CE page.

Attend the Nov. 4 IAR CE Program Overview Webinar: Beginning Jan. 2022, every investment adviser representative (IAR) registered in a jurisdiction that adopts the NASAA IAR CE model rule will be subject to its continuing education (CE) requirements. The mandatory CE program will apply to all registered IARs of both state-registered and federal covered investment advisers. Join NASAA and FINRA for a presentation on the IAR CE program and system functionality. Due to the expected volume of attendees, questions must be submitted in advance. Please send any questions to [email protected] on or before Nov. 1.

Register to Attend
Nov. 4, 2 – 3 p.m. ET

 

  • FINRA Amends Rules 1210 and 1240 to Enhance the Continuing Education Program for Securities Industry Professionals
  • 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
  • FAQ

    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
  • Podcast
    The 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 Letter
    During 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.

  • FAQ

    The following frequently asked questions (FAQ) provide guidance on the amended continuing education (CE) rules. FINRA will publish additional operational-related FAQ on the CE webpage.

    Section 1: Regulatory Element

    1.1 If I complete my Regulatory Element in 2022 based on the current requirements, will I be required to complete annual Regulatory Element in 2023 based on the amended rules?

    Yes. You must complete the prescribed 2023 Regulatory Element content by December 31, 2023.