Information for Continuing Education (CE) Participants
Registered individuals are required to complete Continuing Education (CE) annually by Dec. 31. Annual Regulatory Element CE training may be accessed by visiting FinPro. Individuals who self-enrolled can complete their training by logging in to TESS®.
Support for FinPro, TESS and CE 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.
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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 login process work for CE?
- You are able to access CE 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 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.
- I work for a nonmember firm; how do I log in without a CRD number?
- You can access CE by visiting TESS®.
Can I use my tablet computer or mobile device to complete the session?
- Mobile devices and tablets are now supported and can be used to complete CE. Refer to the Upgrade Your Web Browser page for information about supported browsers and mobile devices.
- What is bookmarking and how does it work?
- As you progress through 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 in multiple occasions, 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 session?
- Your firm may view your session status as it updates in CRD. The firm will also receive email notifications on the status of your CE 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 training is not timed but must be completed by Dec. 31 each year. If your CE session is in progress but you do not satisfy your Regulatory Element requirement before Dec. 31, 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 Dec. 31 if 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 the Dec. 31 deadline has passed, 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 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 Support Center at (240) 386-4040.
- Are certificates of completion provided at the end of the Regulatory Element program?
- No. Certificates of completion are no longer generated upon completion of the Regulatory Element program. However, participants can request transcripts in FinPro.