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CE in FinPro

Did you know? 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.

Accessing FinPro

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 link in the Reminders section of the page.

CE in FinPro - Annual CE Summary

Clicking View and Take Outstanding CE will take the user to the Current Annual Regulatory Element CE section, which contains a list of outstanding CE coursework.

CE in FinPro - Annual CE Details Section

When the user clicks on Launch CE, the CE Program content will open in a separate browser window.

CE in FinPro - SABA Launch Screen

The user can start a module by clicking 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 Start Course button on the middle of the screen to proceed through the module.

CE in FinPro - SABA Course

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.

CE in FinPro -Congratulations

CE in FinPro -Survey Welcome

The main CE platform screen will update as the user progresses through their CE session. Each module will show a Successful status when completed. 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.

CE in FinPro - Completed Course

Selecting View Transcript will open a new screen containing detailed information about their coursework. Users can view as well as print this transcript.

CE in FinPro - View Transcript