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Continuing Education (CE) FAQ

Transforming the Securities Industry CE Program

FINRA has adopted important changes to its continuing education (CE) and registration rules to train registered persons more effectively while accommodating registered persons, particularly women and underrepresented minorities, whose personal circumstances take them away from the industry for a time.


Web Delivery of the Continuing Education Regulatory Element Program

FINRA has transitioned the delivery of the Continuing Education (CE) Regulatory Element to an online format. The CE Program provides participants with the flexibility to satisfy their CE Regulatory Element training requirement from a home or office computer—anytime, anywhere.  

Participants complete a computer-based session and must demonstrate proficiency in order to satisfy the CE requirement.

Registered individuals are required to complete the Regulatory Element annually by Dec. 31 for each registration that they hold. The Regulatory Element provides training on significant rule changes and other regulatory developments relevant to each registration category. 

The Regulatory Element learning topics for each registration category will be published by Oct. 1 for the upcoming year. 


Information for Participants

Learn how to schedule a CE session, how to complete your training, and what to do after your session.

Information for Firms

Learn how CE has affected issues such as notifications to firms, reports, foreign deferrals, and In-firm delivery.

Technical Support & Troubleshooting

Learn about the technical requirements for completing CE training, plus how to get help with technical problems.


Questions about CE?

Call the FINRA Support Center at (240) 386-4040.