CE: Information for Firms
- How can a firm find out which registered individuals have completed their current CE requirement?
- Firms will continue to have access to dynamic reports in FINRA Gateway to assist with tracking the CE status of registered individuals. This report shows which individuals have begun and completed CE.
- Can firms set up notifications for registered individuals about their CE requirements?
- Firms can use the Notifications Tracking Report in FINRA Gateway to monitor FinPro’s auto-generated Regulatory Element CE email notifications.
- Firms can also enable system-generated Regulatory Element CE email notifications for their registered securities professionals. These reminders are sent to the email address provided in their FinPro account profile. See the Firm Settings Guide for more information.
- How does a CE session appear in CRD?
- Firms have the capability to view participants’ progress in satisfying their CE requirement by viewing their records in CRD, which have been expanded to show “Web Delivery” under “Vendor” and will display the date when an individual last accessed the program. The information in CRD will be updated to reflect a participant’s progress, including the number of successfully completed modules to date, under “Appointment Status.” Participants must show proficiency to complete their Regulatory Element requirement.
- What does CE cost?
- The fee for annual Regulatory Element CE sessions is $18, which will be charged to the firm’s account upon completion of the program by participants. This fee is standard for all registered individuals, regardless of the number of registrations held.
- How has CE affected individuals who were previously granted foreign deferrals?
- With the availability of CE, this deferral process has been discontinued. No new foreign deferrals will be granted, and individuals who have received foreign deferrals in the past are now required to take CE training annually by Dec. 31.
- Does FINRA collect IP addresses of participants?
- An IP address, which stands for internet protocol address, is a unique identifying number assigned to every computer that uses the internet. When you initiate a CE session, the system will automatically log your computer’s IP address. Logging the IP address is essential for FINRA in tracking and identifying potential network abuse or security breaches by unauthorized individuals.