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Continuing Education (CE) Online

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 called the CE Online Program. The CE Online Program provides participants with the flexibility to satisfy their CE Regulatory Element requirement from a home or office computer—anytime, anywhere.  

Participants complete a computer-based session consisting of four modules, and must demonstrate proficiency in order to satisfy the CE requirement.

The S101 program has been restructured to include a personalized module that allows the participant to select one of seven topics that most closely resembles their job function: Series 6 Retail Sales, Series 7 Retail Sales, Institutional Sales, Trading, Operations, Investment Banking, or Research. An Information Notice has been published for the S101 General Program for Registered Persons along with a related content outline.

Information for Participants

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

Information for Firms

Learn how CE Online has affected issues such as notifications to firms, quarterly reports, foreign deferrals, and In-Firm Delivery.

Technical Support & Troubleshooting

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

Questions about CE ONLINE?

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