CE Online: Information for Continuing Education (CE) Participants
Consistent with the Regulatory Element requirements, registered persons must complete CE two years after their initial securities registration and every three years thereafter. You will be able to begin your CE Online session immediately once your 120-calendar-day window opens.
Please check with your firm or in FinPro to determine when the 120-calendar-day CE window opens.
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.
On This Page
I received an email notification about my Regulatory Element CE requirement. How can I confirm that this is a legitimate communication?
- Firms can now enable system-generated CE email notifications that are sent to the email address on file in FinPro for their registered securities professionals. Please contact your firm if you would like to confirm whether the communication is authentic; you can also log in to FinPro and review your CE requirement information.
How does the log in process work for CE Online?
- You are able to access CE Online by visiting FinPro. You will need to create an account or log in using an existing username. Individuals who self-enrolled can access the program by visiting TESS®.
- What is my CRD number?
- A CRD® number is a unique number assigned by the FINRA CRD system to every registered individual. Please contact your firm if you do not know your CRD number, or you may look it up in BrokerCheck®.
- What does CE Online cost?
- The fee for a CE Online session is $55, which will be charged to the firm’s account upon completion of the program by participants.
- I work for a non-member firm, how do I login without a CRD number?
- You can access CE Online by visiting TESS®.
Can I use my tablet computer or mobile device to complete the session?
- Tablets are now supported and can be used to complete CE Online. Smartphones are not currently supported for CE Online.
- What is bookmarking and how does it work?
- As you progress though the session and complete the various activities, the system will automatically save your last location and track the number of modules that you have completed. If you choose to complete the CE Online program in multiple occasions over the course of your open window, the system will bookmark your place. You do not have to take any action to save your session. When you resume the session, you will continue where you left off. Your firm will have the ability to monitor your progress and completion through CRD.
- If I start my session on one computer, can I complete it on a different computer?
- Yes, because the system bookmarks your session, when you log in again—even from a different computer. The system only allows one computer to be active with your session at any given time.
- How will my firm know whether I have started my CE Online session?
- Your firm may view your CE window and session status as it updates in CRD. The firm will also receive email notifications on the status of your CE Online session—whether it is in progress, completed or if you have become CE Inactive.
- Is it possible to time out and receive an incompletion?
- CE Online is not timed but must be completed within your 120-calendar-day window. If your CE Online session is in progress but you do not satisfy your Regulatory Element requirement before your 120-calendar-day window closes, you will become CE Inactive and will be required to restart the CE session from the beginning.
- What happens if I become CE Inactive?
- Participants become CE Inactive after the 120-calendar-day window closes and their Regulatory Element requirement has not been satisfied. Registrations of individuals who remain CE Inactive for two years will be administratively terminated, and they will need to requalify.
- Even if your CE session is in progress and your 120-calendar-day window closes, you will become CE Inactive and will be required to restart the CE session from the beginning. Until you complete your CE session, you will remain CE Inactive and are not permitted to act in a registered capacity or receive compensation for activities that require registration.
Upon completion of my CE Online session, when will FINRA update my CRD record?
- FINRA will post participants’ completion status updates to CRD daily. If your results are not posted to CRD within two business days, please contact the FINRA Call Center at (240) 386-4040.
- Can I print my certificate of completion?
- Yes. Although CRD serves as the official record for your completion status, FINRA encourages you to keep a copy of the certificate of completion for your records. You will have the option to save and/or print your completion certificate once you have fulfilled your CE requirement. During the initial registration process after your identity has been verified, you will be required to enter your business email address. A copy of your certificate of completion will be emailed to the address that you provided.
- How can I get a copy of my certificate of completion if I do not print it out at the end of my session?
- By providing your business email address, you will receive, via email, a PDF copy of the certificate. You will be able to save this file to your computer and/or print it. If you do not receive an electronic copy, you can contact the Gateway Call Center and request a hard copy be mailed to your residential address as listed in CRD. Please contact the FINRA Call Center at (240) 386-4040 with any additional questions.
- I did not receive my certificate of completion. Can FINRA resend it?
- Please check for an email from Do-Not-Reply_CEOnlineProgram@finra.org in the junk email or spam folder of your mailbox. The emailed copy of the certificate might have been delivered there. If you still have not received a copy of the certificate upon session completion, please contact the FINRA Call Center at (240) 386-4040 to request a copy.