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. Topics are published, in part, to help firms coordinate their overall training programs with the Regulatory Element. Each firm should determine the best way to incorporate this information into their training program based on their business activities and training needs. This may include providing firm-specific information on topics included in the Regulatory Element or selecting topics different from those in the Regulatory Element for a particular year.
Use the tool below to see what topics are assigned to each registration category, or group of registrations, in the desired calendar year.
Note: Please be aware that the registrations in each category are subject to change annually.