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View a Regulatory Element Learning Plan

The Regulatory Element provides training on significant rule changes and other regulatory developments relevant to each registration category. Beginning Jan. 1, 2023, FINRA Rule 1240 requires registered persons to complete the Regulatory Element annually by Dec. 31 for each registration that they hold.  

To provide sufficient time to review the Regulatory Element topics for each upcoming year, FINRA and the CE Council will publish the topics by no later than Oct. 1 of the prior year.  

Use the tool below to see what topics are assigned to each registration category, or group of registrations, in the desired calendar year. 

Select Registration Categories

Select all applicable registration categories. Hover over the icons next to each section to see the registrations included in each category.
REPRESENTATIVE
PRINCIPAL