CE in FinPro
Effective June 30, Regulatory Element CE can be applied to satisfy up to six hours of IAR (Investment Adviser Representative) CE. Firms can manage this process in Firm Settings, or dually-registered individuals can make the request in FinPro.
Registered individuals access Regulatory Element Continuing Education (CE) via FinPro. Learn more about accessing and completing CE below.
FinPro users must create account credentials (user id, password and security challenge questions) as well as verify their identity with Transunion to access the system. (Tip: See the FinPro Account Creation Guide for guidance if you have not yet created a FinPro account.)
FinPro cannot be accessed with Internet Explorer. Use a supported browser to log in.
First-Time FinPro Users
Before creating an account: Have you self-enrolled in an exam or used one of these FINRA systems? If so, you can use the same system credentials to log in to FinPro.
Can’t remember your user id or password? Recover them via email.
Returning FinPro Users
If you have logged in to FinPro before, sign in or quickly retrieve your credentials through the buttons below.
Note: You may need to create a new FinPro account if more than three years have passed since your last login. FinPro credentials are automatically deleted after 36 months of inactivity.
Once logged in, FinPro users with a “CE Required” status will have a Launch CE Online link in the Reminders section of the page.
When the user clicks on Launch CE Online, a separate browser window will open with the CE Program content.
If the CE session window is for the 101, the user will be presented with the job function window. From here, the user should select the appropriate job function and select Confirm. (The S201 does not require an individual to select a job function.)
The user can start a module by clicking on Launch next to the title.
Once the module has been launched, the user will see a window that looks similar to the image below. The user should use the Next button on the bottom of the screen to proceed through the module.
Once the user has successfully completed all modules, they will see the window below. They will be asked to complete a quick survey if they select Yes.
The main CE platform screen will update as the user progresses through their CE session. Each module will show a Completed successfully status when completed, and the Action buttons will change as well. After the user completes the entire session, buttons will appear to Print Certificate and Export Certificate.
The user can now close the browser tab with the CE program and return to FinPro. Within FinPro, under the Continuing Ed section, the user will now see the CE Status is set to Complete.