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Continuing Education Rules of Conduct

These Rules of Conduct set forth the terms and conditions of your participation in a Regulatory Element Continuing Education (CE) session. You must read and agree to the following statements before starting your Regulatory Element CE session.

  • I understand that if I violate any of the following rules of conduct, my CE session results will be forfeited and I may be subject to disciplinary action by FINRA, another self-regulatory organization, the Securities and Exchange Commission, or any other regulator (government or private) that has jurisdiction over my activities, up to and including, being barred from participating in the financial services industry.
  • I will not engage in any activities that will dishonestly improve my results or dishonestly improve or damage the results of others required to complete the Regulatory Element CE requirement.
  • I will not make the learning content, answers or solutions to the assessment activities (together, the CE content) available to anyone.
  • I will maintain the confidentiality of all CE content.
  • I will not electronically capture or attempt to capture any CE content from my computer screen, nor will I photograph, record, print or otherwise reproduce (digitally or otherwise) any CE content.
  • I will not discuss, post, publish, or otherwise disseminate CE content via email, social media or other Internet presence, or otherwise.
  • I will not reproduce or attempt to reproduce CE content through memorization.
  • I will not use the CE content for any purpose other than fulfilling my own CE requirements during this CE session.
  • I will not permit or encourage another party to engage in these above activities.
  • I am the person I represented to be during the login process for this CE session.
  • I will not accept assistance from any other person in completing the assessment activities.
  • I acknowledge that the CE content is the property of FINRA and/or the organization(s) that developed the CE content and that FINRA and/or such organizations are the copyright holders of the CE content.
  • I understand that I am bound by the prohibitions described above before, during and after my CE session and agree to all of the above.
  • I agree to be bound by the prohibitions described above before, during and after my session.