CINXE.COM

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id="finra-homepage-nav-megamenus-new-menu-link-content87ac70da-476d-497b-bee4-39d65e59ea5f--2" class="sf-depth-2 header sf-multicolumn-column menuparent"><div class="sf-multicolumn-column"><a href="/registration-exams-ce" class="sf-depth-2 menuparent" aria-labelledby="Registration Section 3">Registration Section 3</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-content1f87e2bc-137c-4e76-ba12-921ac5400696--2" class="sf-depth-3 header menuparent"><a href="/registration-exams-ce/classic-crd" class="sf-depth-3 menuparent" aria-labelledby="Registration Systems">Registration Systems</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-content74de55a6-970c-49a4-877f-6a3cd1584db9--2" class="sf-depth-4 header sf-no-children"><a href="/registration-exams-ce/classic-crd" class="sf-depth-4" aria-labelledby="Classic CRD">Classic CRD</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-contentc425811e-6944-4643-9a4b-21222d7ed44e--2" class="sf-depth-4 header sf-no-children"><a href="/registration-exams-ce/finpro" class="sf-depth-4" aria-labelledby="Financial Professional Gateway (FinPro)">Financial Professional Gateway (FinPro)</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content7afd209b-9193-484a-b160-9705bcd8e250--2" class="sf-depth-4 header sf-no-children"><a href="/registration-exams-ce/financial-industry-networking-directory" class="sf-depth-4" aria-labelledby="Financial Industry Networking Directory (FIND)">Financial Industry Networking Directory (FIND)</a></li></ol></li></ol></div></li></ol></li></ul></li><li id="finra-homepage-nav-megamenus-new-menu-link-contentc47867f6-a419-4633-83aa-9fb4c8d8cda7--2" class="sf-depth-1 header menuparent"><a href="/events-training" class="sf-depth-1 menuparent" aria-labelledby="Events & Training">Events & Training</a><ul class="sf-multicolumn"><li class="sf-multicolumn-wrapper "><ol><li id="finra-homepage-nav-megamenus-new-menu-link-content9cd640c1-feb7-4c4a-b67e-a3eaedacd028--2" class="sf-depth-2 header 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Experience (FLEX)">Financial Learning Experience (FLEX)</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content8febe617-8873-4d02-aca8-d13df4b6649e--2" class="sf-depth-3 header sf-no-children"><a href="/compliance-tools/small-firms-information/small-firm-report" class="sf-depth-3" aria-labelledby="Small Firm Conference Call">Small Firm Conference Call</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content911c7ec5-023c-4c98-953f-b121ff986fa3--2" class="sf-depth-3 header sf-no-children"><a href="/events-training/webinars" class="sf-depth-3" aria-labelledby="Webinars">Webinars</a></li></ol></div></li></ol></li></ul></li><li id="finra-homepage-nav-megamenus-new-menu-link-contentf3f7bbdd-246d-45c1-af1c-960dc8ad074d--2" class="sf-depth-1 header menuparent"><a href="/filing-reporting" class="sf-depth-1 menuparent" aria-labelledby="Filing & Reporting">Filing & Reporting</a><ul class="sf-multicolumn"><li class="sf-multicolumn-wrapper "><ol><li id="finra-homepage-nav-megamenus-new-menu-link-content296db8b3-7b22-4c23-a036-06be44277a69--2" class="sf-depth-2 header sf-multicolumn-column menuparent"><div class="sf-multicolumn-column"><a href="/filing-reporting" class="sf-depth-2 menuparent" aria-labelledby="Filing & Reporting Section 1">Filing & Reporting Section 1</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-contentf874a19d-557b-487f-88f1-3d84445f4bc9--2" class="sf-depth-3 header sf-no-children"><a href="/filing-reporting/finra-gateway" class="sf-depth-3" aria-labelledby="FINRA Gateway">FINRA Gateway</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-contentf6c4c3c6-93c8-42cf-ab58-476a92d01380--2" class="sf-depth-3 header sf-no-children"><a href="/filing-reporting/systems-status" class="sf-depth-3" aria-labelledby="Systems Status">Systems Status</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-contentd27e2150-fc22-4e07-98c1-2cce079184a8--2" class="sf-depth-3 header sf-no-children"><a href="/filing-reporting/entitlement" class="sf-depth-3" aria-labelledby="Entitlement Program">Entitlement Program</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content68c74d41-92b9-4e79-84e4-5c43beaf45dc--2" class="sf-depth-3 header sf-no-children"><a href="/filing-reporting/market-transparency-reporting" class="sf-depth-3" aria-labelledby="Market Transparency Reporting Tools">Market Transparency Reporting Tools</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-contentbb250ecd-0432-4ebc-bccf-a21e455fb617--2" class="sf-depth-3 header sf-no-children"><a href="/filing-reporting/regulatory-filing-systems" class="sf-depth-3" aria-labelledby="Regulatory Filing Systems">Regulatory Filing Systems</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content2de7e722-b3b2-471e-9cf2-587f649dd923--2" class="sf-depth-3 header sf-no-children"><a href="/filing-reporting/data-transfer-tools" class="sf-depth-3" aria-labelledby="Data Transfer Tools">Data Transfer 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sf-no-children"><a href="/compliance-tools/peer-2-peer-compliance-library" class="sf-depth-3" aria-labelledby="Peer-2-Peer Compliance Library">Peer-2-Peer Compliance Library</a></li></ol></div></li></ol></li></ul></li><li id="finra-homepage-nav-megamenus-new-menu-link-content8a617041-43a3-43ff-9f58-6a2615970d47--2" class="sf-depth-1 header menuparent"><a href="/investors" class="sf-depth-1 menuparent" aria-labelledby="For Investors">For Investors</a><ul class="sf-multicolumn"><li class="sf-multicolumn-wrapper "><ol><li id="finra-homepage-nav-megamenus-new-menu-link-content955b2de2-2baf-4187-9e39-086c21440220--2" class="sf-depth-2 header sf-multicolumn-column menuparent"><div class="sf-multicolumn-column"><a href="/investors" class="sf-depth-2 menuparent" aria-labelledby="For Investors Section 1">For Investors Section 1</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-content1def6247-9eb1-41f1-a045-bbfc96316e74--2" class="sf-depth-3 header sf-no-children"><a href="/investors/insights" class="sf-depth-3" aria-labelledby="Investor Insights">Investor Insights</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content0f5c83d6-0199-481c-bdb8-4215fffb4371--2" class="sf-depth-3 header sf-no-children"><a href="/investors/tools-and-calculators" class="sf-depth-3" aria-labelledby="Tools & Calculators">Tools & Calculators</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content53f5080d-f916-4b0a-942e-129c5cf72090--2" class="sf-depth-3 header menuparent"><a href="/investors/personal-finance" class="sf-depth-3 menuparent" aria-labelledby="Personal Finance">Personal Finance</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-content7c320bbc-4fad-463a-97ee-024d99463fca--2" class="sf-depth-4 header sf-no-children"><a href="/investors/personal-finance/know-your-net-worth" class="sf-depth-4" aria-labelledby="Net Worth">Net Worth</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content26f056cf-1b99-4c9d-a97c-18cc65a4eb22--2" class="sf-depth-4 header sf-no-children"><a href="/investors/personal-finance/control-spending-calculate-cash-flow" class="sf-depth-4" aria-labelledby="Spending">Spending</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content2c662e03-9e1f-4e44-80e6-aba99155f167--2" class="sf-depth-4 header sf-no-children"><a href="/investors/personal-finance/manage-your-debt" class="sf-depth-4" aria-labelledby="Debt">Debt</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content2d5626b5-fe42-47bf-8088-a4996e53f73e--2" class="sf-depth-4 header sf-no-children"><a href="/investors/personal-finance/how-your-credit-score-impacts-your-financial-future" class="sf-depth-4" aria-labelledby="Credit Scores">Credit Scores</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content5388280f-edc8-40b9-a071-e4d109117508--2" class="sf-depth-4 header sf-no-children"><a href="/investors/personal-finance/start-emergency-fund" class="sf-depth-4" aria-labelledby="Emergency Funds">Emergency Funds</a></li></ol></li></ol></div></li><li id="finra-homepage-nav-megamenus-new-menu-link-content7d8f8a9d-8b19-4d7e-a8cd-586399b0e4f8--2" class="sf-depth-2 header sf-multicolumn-column menuparent"><div class="sf-multicolumn-column"><a href="/investors" class="sf-depth-2 menuparent" aria-labelledby="For Investors Section 2">For Investors Section 2</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-content64f29299-b56d-4976-9c4d-c4cd58f933ba--2" class="sf-depth-3 header menuparent"><a href="/investors/investing" class="sf-depth-3 menuparent" aria-labelledby="Investing">Investing</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-content3d6bebd0-cfbc-4d39-88f9-a401f33f597e--2" class="sf-depth-4 header sf-no-children"><a href="/investors/investing/investing-basics" class="sf-depth-4" aria-labelledby="Investing Basics">Investing Basics</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-contente62ab252-c90e-43eb-b799-328c951f9680--2" class="sf-depth-4 header sf-no-children"><a href="/investors/investing/investment-products" class="sf-depth-4" aria-labelledby="Investment Products">Investment Products</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content4a8dd42d-00d4-4290-8ed4-e6224956af5f--2" class="sf-depth-4 header sf-no-children"><a href="/investors/investing/investment-accounts" class="sf-depth-4" aria-labelledby="Investment Accounts">Investment Accounts</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-contentf425f2b1-c2f1-4000-9bb7-2233a2298437--2" class="sf-depth-4 header sf-no-children"><a href="/investors/investing/working-with-investment-professional" class="sf-depth-4" aria-labelledby="Working With an Investment Professional">Working With an Investment Professional</a></li></ol></li><li id="finra-homepage-nav-megamenus-new-menu-link-contenta983f7d0-3993-4f42-80d8-ed474e986f45--2" class="sf-depth-3 header menuparent"><a href="/investors/protect-your-money" class="sf-depth-3 menuparent" aria-labelledby="Protect Your Money">Protect Your Money</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-content84745677-33ee-4917-b6d7-78f2d33ae64a--2" class="sf-depth-4 header sf-no-children"><a href="/investors/alerts" class="sf-depth-4" aria-labelledby="Investor Alerts">Investor Alerts</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-contentbabb7a34-330b-432a-9c7a-3aed86cab6b3--2" class="sf-depth-4 header sf-no-children"><a href="/investors/protect-your-money/ask-and-check" class="sf-depth-4" aria-labelledby="Ask and Check">Ask and Check</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content75981642-a29c-4c2f-a04a-268dd98fd524--2" class="sf-depth-4 header sf-no-children"><a href="/investors/protect-your-money/avoid-fraud" class="sf-depth-4" aria-labelledby="Avoid Fraud">Avoid Fraud</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content773fb0c7-df7e-422b-a8f0-3689c3f58683--2" class="sf-depth-4 header sf-no-children"><a href="/investors/protect-your-money/protect-your-identity" class="sf-depth-4" aria-labelledby="Protect Your Identity">Protect Your Identity</a></li></ol></li></ol></div></li><li id="finra-homepage-nav-megamenus-new-menu-link-contentf03d2691-6592-4649-b41d-6652712ef3d0--2" class="sf-depth-2 header sf-multicolumn-column menuparent"><div class="sf-multicolumn-column"><a href="/investors" class="sf-depth-2 menuparent" aria-labelledby="For Investors Section 3">For Investors Section 3</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-contentb0c88306-2bd6-4078-8a56-8766b2affe7f--2" class="sf-depth-3 header sf-no-children"><a href="/investors/military" class="sf-depth-3" aria-labelledby="For the Military">For the Military</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content1b13b9ef-e483-4cb3-bce6-a5e1069fc45e--2" class="sf-depth-3 header menuparent"><a href="/investors/need-help" class="sf-depth-3 menuparent" aria-labelledby="Need Help?">Need Help?</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-contentf4bc73f1-2d52-4a24-9c44-7d956273b8fb--2" class="sf-depth-4 header sf-no-children"><a href="/investors/need-help/file-a-complaint" class="sf-depth-4" aria-labelledby="File a Complaint">File a Complaint</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-contentcca58141-8642-401c-acd4-a857dae74c57--2" class="sf-depth-4 header sf-no-children"><a href="/investors/need-help/helpline-seniors" class="sf-depth-4" aria-labelledby="FINRA Securities Helpline for Seniors">FINRA Securities Helpline for Seniors</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-contentb8670cad-ba33-4aff-a609-45c82362ed80--2" class="sf-depth-4 header sf-no-children"><a href="/arbitration-mediation" class="sf-depth-4" aria-labelledby="Dispute Resolution">Dispute Resolution</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content6b4ead9c-d440-41c5-af0b-aa0f20f66919--2" class="sf-depth-4 header sf-no-children"><a href="/investors/need-help/legitimate-avenues-recovery-investment-losses" class="sf-depth-4" aria-labelledby="Avenues for Recovery of Losses">Avenues for Recovery of Losses</a></li></ol></li></ol></div></li></ol></li></ul></li> </ul> </div> </div> </section> </div> <hr> <div id="mob_menu_sec" class="secondary-menu" style = "display:none"> <section class="region region-secondary-menu"> <nav role="navigation" aria-labelledby="block-finrautilitymenu-menu" id="block-finrautilitymenu" data-block-plugin-id="system_menu_block:finra-utility-menu" class="block block-menu navigation menu--finra-utility-menu"> <h2 class="sr-only visually-hidden" id="block-finrautilitymenu-menu">FINRA Utility Menu</h2> <ul id="block-finrautilitymenu" class="clearfix nav navbar-nav"> <li class="nav-item menu-item--collapsed"> <a href="/about" class="nav-link" aria-labelledby="About Us" data-drupal-link-system-path="node/135106">About Us</a> </li> <li class="nav-item menu-item--collapsed"> <a href="/careers" 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id="continuing-education-(ce)-submenu"> <li class="nav-item"> <a href="/registration-exams-ce/continuing-education/regulatory-element-topics" class="nav-link" aria-labelledby="View a Regulatory Element Learning Plan" data-drupal-link-system-path="node/334416">View a Regulatory Element Learning Plan</a> </li> </ul> </li> <li class="nav-item menu-item--expanded"> <div class="expando collapsed" data-toggle="collapse" data-target="#registration-systems-submenu"></div> <a href="/registration-exams-ce/classic-crd" class="nav-link adjust-for-expando" aria-labelledby="Registration Systems" data-drupal-link-system-path="node/126081">Registration Systems</a> <ul class="menu collapse " id="registration-systems-submenu"> <li class="nav-item"> <a href="/registration-exams-ce/classic-crd" class="nav-link" aria-labelledby="Classic CRD" data-drupal-link-system-path="node/126081">Classic CRD</a> </li> <li class="nav-item"> <a href="/registration-exams-ce/finpro" class="nav-link" aria-labelledby="Financial Professional Gateway (FinPro)" data-drupal-link-system-path="node/66193">Financial Professional Gateway (FinPro)</a> </li> <li class="nav-item"> <a href="/registration-exams-ce/financial-industry-networking-directory" class="nav-link" aria-labelledby="Financial Industry Networking Directory (FIND)" data-drupal-link-system-path="node/145806">Financial Industry Networking Directory (FIND)</a> </li> </ul> </li> <li class="nav-item"> <a href="/registration-exams-ce/manage-your-career" class="nav-link" aria-labelledby="Manage Your Career" data-drupal-link-system-path="node/86458">Manage Your Career</a> </li> </ul> </nav> </div> </div> </aside> </div> <main class="main-content col" id="content" role="main"> <section class="section"> <a id="main-content" tabindex="-1"></a> <div id="block-finra-bootstrap-sass-system-main" data-block-plugin-id="system_main_block" class="block block-system block-system-main-block"> <div class="content"> <article class="node node--type-article node--view-mode-full clearfix node--promoted"> <div> <div class="layout layout--onecol"> <div class="layout__region layout__region--content"> <div class="block-region-content"><div data-block-plugin-id="entity_field:node:title" class="block block-ctools-block block-entity-fieldnodetitle"> <div class="content"> <span class="field field--name-title field--type-string field--label-hidden"><h1>Continuing Education (CE)</h1></span> </div> </div> <div data-block-plugin-id="block_content:7611dbf3-53e0-41ac-ab90-4c361653ab54" class="block block-block-content block-block-content7611dbf3-53e0-41ac-ab90-4c361653ab54"> <div class="content"> <nav id="tab-links" class="nav nav-tabs" role="tablist"> <a href="#overview" role="tab" data-toggle="tab" class="nav-link nav-item">Overview</a> <a href="#rules" role="tab" data-toggle="tab" class="nav-link nav-item">Rules</a> <a href="#notices" role="tab" data-toggle="tab" class="nav-link nav-item">Notices</a> <a href="#guidance" role="tab" data-toggle="tab" class="nav-link nav-item">Guidance</a> <a href="#news-releases" role="tab" data-toggle="tab" class="nav-link nav-item">News Releases</a> <a href="#investor-education" role="tab" data-toggle="tab" class="nav-link nav-item">Investor Education</a> </nav> <div id="tabs" class="tab-content"> <div role="tabpanel" class="tab-pane fade" id="overview"> <div class="field field--name-field-tab-content field--type-block-field field--label-hidden field__items"> <div class="field__item"><div id="block-body" data-block-plugin-id="entity_field:node:body" class="block block-ctools-block block-entity-fieldnodebody"> <div class="content"> <div class="clearfix text-formatted field field--name-body field--type-text-with-summary field--label-hidden field__item"><p>In conjunction with other self-regulatory organizations and the <a href="http://www.cecouncil.com/" target="_blank">Securities Industry/Regulatory Council on Continuing Education</a>, FINRA administers the continuing education (CE) program for the securities industry. (See <a href="/rules-guidance/rulebooks/finra-rules/1240">FINRA Rule 1240</a>.) CE consists of two mandatory programs: the <a href="#regulatory">Regulatory Element</a> and the <a href="#firm_element">Firm Element</a>.</p><p>After reviewing the information on this page, visit the <a href="http://www.cecouncil.com/">Securities Industry/Regulatory Council on Continuing Education (CE Council) website</a>. It contains a wide range of CE information and publications regarding the Regulatory Element and Firm Element.</p><p>If you have questions about <a href="/rules-guidance/rulebooks/finra-rules/1240">FINRA Rule 1240</a>, the CE Program, or otherwise require assistance after reading FINRA and the CE Council's resources, please contact the FINRA Support Center. (See the Contact Us section for more information.)</p><h3>On This Page</h3><ul><li><a href="#announcements">Announcements</a></li><li><a href="#regulatory">Regulatory Element</a><ul><li><a href="#ce_online">FINRA CE</a></li><li><a href="#accomodations">Testing Accommodations</a></li><li><a href="#RE_Extension">Regulatory Element Learning Plan Extension Requests</a></li></ul></li><li><a href="#firm_element">Firm Element</a></li><li><a href="#iar_ce">IAR CE</a></li><li><a href="#mqp">Maintaining Qualification Program (MQP)</a></li></ul><hr /><h3 id="announcements" name="announcements">Announcements</h3><ul type="disc"><li><strong>CE Council's 2024 Regulatory Element CE Survey Results Report: </strong><span class="normaltextrun">CE Council has published the results of its recent survey focused on firms’ experiences with the Regulatory Element. The survey results are provided on the </span><a href="https://cecouncil.com/regulatory-element/" target="_blank"><span class="normaltextrun" style="color:#0563C1;">CE Council website</span></a><span class="normaltextrun"> in composite and in individual reports for small, midsize and large firms respectively. The results provided valuable insight into firms’ perspectives and best practices that the Council will consider in its ongoing evaluation of the CE programs.</span></li><li><strong>New FinPro and FINRA Gateway Regulatory Element CE Status Code:</strong> Beginning on Oct. 26, 2024, a new “Not Required” Regulatory Element CE status code has been made available in FinPro, FINRA Gateway, Classic CRD and FINRA Gateway Reports to help clarify expectations for certain industry professionals who do not hold any active FINRA or other SRO registrations that require completion of annual Regulatory Element CE. The “Not Required” status applies to individuals who terminated their registration(s) and do not have any active SRO registration(s), and therefore are not required to take required Regulatory Element CE while they are not actively registered. Upon re-registration, an industry professional may have to complete Regulatory Element CE assignments that became due while they were not registered. For more information on CE status codes, please view the <a href="/sites/default/files/2022-12/AnnualCEDataDefinition.pdf">Annual Continuing Education Data Dictionary</a>.</li><li><strong>Financial Learning Experience:</strong> FINRA has launched the <a href="/events-training/flex">Financial Learning Experience™ (FLEX™)</a>, a centralized continuing education (CE) platform that provides e-learning content that firms have the option to leverage for their Firm Element or other training needs.</li><li><strong>2025 Regulatory Element Topics Published:</strong> FINRA and the CE Council have published the 2025 <a href="/registration-exams-ce/continuing-education/regulatory-element-topics">learning topics</a> for each registration category. The 2023 and 2024 learning plans can still be accessed through this link as well.</li><li><strong>NASAA’s Exam Validity Extension Program: </strong>The North American Securities Administrators Association (NASAA)’s membership approved model rules for programs similar to FINRA’s MQP, called the Exam Validity Extension Program (EVEP) for Broker-Dealer Agents (AG) and for Investment Adviser Representatives (IAR). The programs allow eligible individuals to maintain the validity of their <a href="/registration-exams-ce/qualification-exams/series63">Series 63</a> exam and/or the validity of their <a href="/registration-exams-ce/qualification-exams/series65">Series 65</a> exam for up to five years for states that adopt the model rules by completing annual CE requirements. For more information about the model rules, participating jurisdictions and FAQs, visit <a href="https://www.nasaa.org/exams/exam-validity-extension-program/" target="_blank">NASAA's EVEP page</a>. For more information about availability dates and how eligible individuals can enroll, visit the <a href="/registration-exams-ce/finpro">FinPro (Financial Professional Gateway) page</a>.</li><li><a href="/sites/default/files/2023-09/fena_quarterly_highlights.pdf">2024 Q4 Firm Element Needs Analysis Quarterly Highlights</a><a href="http://www.cecouncil.org/media/266885/firm-element-quarterly-highlights-final.pdf"><strong> </strong></a>(formerly named the Firm Element Advisory) is now available on the <a href="http://www.cecouncil.org/" target="_blank">CE Council</a> website.</li><li><strong>Apply Regulatory Element CE to IAR CE Products & Practices Requirements in Firm Settings: </strong>Effective June 30, 2022, firms may opt in to a new Firm Setting in FINRA Gateway to automatically apply Regulatory Element CE to associated individuals who also have an IAR CE Products & Practices requirement. For more information about IAR CE requirements, see the <a href="http://www.iard.com/iar-ce">IAR CE page on iard.com</a>.</li><li><strong>Track Regulatory Element CE Email Reminders With New FINRA Gateway Report</strong>: Effective April 5, 2022, firms can use the Notifications Tracking Report in FINRA Gateway to monitor <a href="/filing-reporting/finra-gateway/notifications-information">auto-generated system email notifications</a>, including FinPro's optional Regulatory Element CE email notifications. The report includes many data points requested by firms, including email addresses, email subject, date sent, and the date an email was opened.</li></ul><p>For more information about CE email notifications, see the <a href="/registration-exams-ce/finpro/for-firms/firm-settings-guide">Firm Settings Guide</a>.</p><ul><li><strong>Regulatory Element CE Email Reminders: </strong>Firms can enable an optional feature in FINRA Gateway's Firm Settings. Once enabled, registered securities professionals with FinPro accounts will receive auto-generated email reminders about their Regulatory Element requirement.</li></ul><p><a href="/registration-exams-ce/finpro/for-firms/firm-settings-guide">Learn More About FINRA Notifications</a></p><hr /><h3 id="regulatory" name="regulatory">Regulatory Element</h3><p>FINRA Rule 1240 requires registered persons to complete the Regulatory Element annually by Dec. 31 for each registration that they hold. The Regulatory Element provides training on significant rule changes and other regulatory developments relevant to each registration category.</p><p>To provide sufficient time to review the Regulatory Element topics for each upcoming year, FINRA and the CE Council publish the <a href="/registration-exams-ce/continuing-education/regulatory-element-topics">learning topics</a> for each registration category by Oct. 1.</p><p>Participants must satisfy their CE requirement through an online CE platform annually by Dec. 31. The platform is available by logging in to <a href="/finpro">FinPro (Financial Professional Gateway)</a>.</p><p>Support for FinPro and the CE platform is available during core business hours, Monday through Friday from 8 a.m. to 8 p.m. ET. Notice will be provided on FINRA’s <a href="/filing-reporting/systems-status">Systems Status page</a> when the systems are unavailable.</p><p><a href="/registration-exams-ce/finpro/ce">Learn More About CE In FinPro</a></p><p><a href="/registration-exams-ce/continuing-education/ce-online">CE FAQ</a></p><h4 id="accomodations" name="accomodations">Testing Accommodations</h4><p>FINRA has made every effort to make CE as user friendly as possible for all participants, regardless of physical, sensory or cognitive ability. In most cases, participants who have required accommodations in the past will no longer need to apply for accommodations when using the CE platform.</p><p>However, FINRA recognizes that some CE participants may require additional assistance beyond what the CE platform provides. Participants or firms may choose to apply for an accommodation for a reader, a recorder or both, if needed.</p><p><a href="/registration-exams-ce/continuing-education/accommodations-ce-online-participants">Learn more about Accommodations for CE Participants</a></p><h4 id="RE_Extension" name="RE_Extension">Regulatory Element Learning Plan Extension Requests</h4><p>FINRA Rule 1240 requires registered persons to complete the Regulatory Element annually by Dec. 31 for each registration that they hold. If a registered person experiences circumstances that prevent them from completing the assigned CE by their due date, FINRA may—upon written application, with supporting documentation, and a showing of good cause—allow for additional time for the registered person to complete their CE. Please note that good cause and related documentation must demonstrate that substantive circumstances beyond the registered person’s control prevented them from completing their CE by the due date. Regulatory Element learning plan extension requests provide a formal process for firms to submit such requests to FINRA so that FINRA is able to determine whether an extension may be granted.</p><p>To submit a request for a Regulatory Element learning plan extension, the registered person’s firm must complete the Regulatory Element Learning Plan Extension Request Form (linked below) and email the completed form and supporting documentation to: <a href="/cdn-cgi/l/email-protection#8bc7dbcef3ffeee5f8e2e4e5d9eefafeeef8fff8cbede2e5f9eaa5e4f9ec"><span class="__cf_email__" data-cfemail="f2bea2b78a86979c819b9d9ca097838797818681b2949b9c8093dc9d8095">[email protected]</span></a>. As this submission may contain confidential information, please do not include additional FINRA email addresses on this submission.</p><p><a href="/sites/default/files/2023-05/regulatory-element-learning-plan-extension-request-form.pdf" target="_blank">Access the Regulatory Element Learning Plan Extension Request Form</a></p><hr /><h3 id="firm_element" name="firm_element">Firm Element</h3><p>The Firm Element of the FINRA CE Program requires broker-dealers to establish a formal training program to keep registered persons, including individuals who maintain solely a permissive registration consistent with Rule 1210.02, up to date on topics related to professional responsibility and to the role, activities or responsibilities of the registered person. In planning, developing and implementing the Firm Element, each broker-dealer must consider its size, structure, scope of business and regulatory concerns.</p><p>Each broker-dealer must administer its Firm Element CE Program in accordance with its annual Needs Analysis and Written Training Plan, and maintain records documenting the content and completion of the program.</p><p>FINRA publishes the Securities Industry Regulatory Council’s <a href="https://cecouncil.com/quarterly-highlights/">Firm Element Needs Analysis Quarterly Highlights</a> (formerly known as the Firm Element Advisory), which identifies and recommends pertinent regulatory and sales practice issues for firms to consider including in their Firm Element training plans. Learn more about Firm Element guidelines with our <a href="https://cecouncil.com/firm-element/#firm-education-program" target="_blank">Guide to Firm Element Needs Analysis and Training Plan Development</a>.</p><p><strong>See Also:</strong> <a href="/flex">Financial Learning Experience™ (FLEX™)</a></p><hr /><h3 id="iar_ce" name="iar_ce">IAR CE</h3><p>A registered representative who is also registered as an investment adviser representative (IAR) may be subject to IAR CE requirements.</p><p><span>IARs can apply Regulatory Element training to the Products and Practice requirement through their </span><a href="/finpro"><span>FinPro (Financial Professional Gateway</span></a><span>) accounts. If a firm would like to cover the Regulatory Element reporting fee for all individuals registered with their firm, they can opt in to the new IAR CE Regulatory Element/Products and Practice (PP) Fee firm setting in FINRA Gateway. More information is available in the </span><a href="/registration-exams-ce/finpro/for-firms/firm-settings-guide"><span>Firm Settings Guide</span></a><span>.</span></p><p><span>For information about IAR CE, please visit </span><a href="https://www.nasaa.org/industry-resources/investment-advisers/investment-adviser-representative-continuing-education/" target="_blank"><span>NASAA’s IAR CE</span></a><span> page.</span></p><hr /><h3 id="mqp" name="mqp">Maintaining Qualification Program (MQP)</h3><p>This program provides eligible individuals who terminate any of their representative or principal registrations with the option of maintaining their qualification for certain terminated registrations by completing annual CE.</p><p>This program is relevant to both current and former industry professionals, and certain enrollment deadlines will be imposed. Eligible individuals will be able to enroll and complete required training through <a href="/finpro">FinPro</a>. We encourage firms to communicate to their securities professionals about this program and advise them to create and maintain a FinPro account.</p><p><a href="/mqp">See The Maintaining Qualifications Program Page For More Details</a></p></div> </div> </div> </div> </div> </div> <div role="tabpanel" class="tab-pane fade" id="rules"> <div class="field field--name-field-tab-content field--type-block-field field--label-hidden field__items"> <div class="field__item"><div class="views-element-container block block-views block-views-blocktopic-pages-by-industry-issue-block-2" id="block-views-block-topic-pages-by-industry-issue-block-2" data-block-plugin-id="views_block:topic_pages_by_industry_issue-block_2"> <div class="content"> <div><div class="view view-topic-pages-by-industry-issue view-id-topic_pages_by_industry_issue view-display-id-block_2 js-view-dom-id-60cdae6d5d9ba05b44561dec4d9d64a10fa699c9217b513b6ba4fa6747b44cba"> <div class="view-content"> <div class="item-list"> <ul> <li><div class="views-field views-field-field-rule-type"><div class="field-content">FINRA Rules</div></div><div class="views-field views-field-title"><span class="field-content"><a href="/rules-guidance/rulebooks/finra-rules/1240" hreflang="en">1240. Continuing Education</a></span></div></li> </ul> </div> </div> </div> </div> </div> </div> </div> </div> </div> <div role="tabpanel" class="tab-pane fade" id="notices"> <div class="field field--name-field-tab-content field--type-block-field field--label-hidden field__items"> <div class="field__item"><div class="views-element-container block block-views block-views-blocktopic-pages-by-industry-issue-block-1" id="block-views-block-topic-pages-by-industry-issue-block-1" data-block-plugin-id="views_block:topic_pages_by_industry_issue-block_1"> <div class="content"> <div><div class="view view-topic-pages-by-industry-issue view-id-topic_pages_by_industry_issue view-display-id-block_1 js-view-dom-id-7f3cd5aa9267d1b3e2bd3f67d7e4977e0e64f1b312cf78271e096e2d3d7ba506"> <div class="view-content"> <div class="item-list"> <ul> <li><div class="views-field views-field-title"><span class="field-content"><a href="/rules-guidance/notices/information-notice-071224" hreflang="en">Information Notice - 7/12/24</a></span></div><div class="views-field views-field-field-notice-title-tx"><div class="field-content">FINRA Reminds Registered Persons and Firms of Continuing Education Requirements</div></div><div class="views-field views-field-field-core-official-dt"><em class="field-content">07/12/2024</em></div></li> <li><div class="views-field views-field-title"><span class="field-content"><a href="/rules-guidance/notices/information-notice-110223" hreflang="en">Information Notice 11/2/23</a></span></div><div class="views-field views-field-field-notice-title-tx"><div class="field-content">FINRA Reminds Firms of Continuing Education Firm Element Rule Changes</div></div><div class="views-field views-field-field-core-official-dt"><em class="field-content">11/02/2023</em></div></li> <li><div class="views-field views-field-title"><span class="field-content"><a href="/rules-guidance/notices/information-notice-072623" hreflang="en">Information Notice 7/26/23</a></span></div><div class="views-field views-field-field-notice-title-tx"><div class="field-content">FINRA Reminds Registered Persons and Firms of Continuing Education Regulatory Element Annual Deadline</div></div><div class="views-field views-field-field-core-official-dt"><em class="field-content">07/26/2023</em></div></li> <li><div class="views-field views-field-title"><span class="field-content"><a href="/rules-guidance/notices/21-41" hreflang="en">Regulatory Notice 21-41</a></span></div><div class="views-field views-field-field-notice-title-tx"><div class="field-content">FINRA Amends Rules 1210 and 1240 to Enhance the Continuing Education Program for Securities Industry Professionals</div></div><div class="views-field views-field-field-core-official-dt"><em class="field-content">11/17/2021</em></div></li> <li><div class="views-field views-field-title"><span class="field-content"><a href="/rules-guidance/notices/information-notice-062520" hreflang="en">Information Notice – 6/25/20</a></span></div><div class="views-field views-field-field-notice-title-tx"><div class="field-content">FINRA Gateway – Changes to Form U4 User Interface and Access to Continuing Education</div></div><div class="views-field views-field-field-core-official-dt"><em class="field-content">06/25/2020</em></div></li> <li><div class="views-field views-field-title"><span class="field-content"><a href="/rules-guidance/notices/20-05" hreflang="en">Regulatory Notice 20-05</a></span></div><div class="views-field views-field-field-notice-title-tx"><div class="field-content">FINRA Requests Comment on a Proposal to Implement the Recommendations of the CE Council Regarding Enhancements to the Continuing Education Program for Securities Industry Professionals</div></div><div class="views-field views-field-field-core-official-dt"><em class="field-content">02/18/2020</em></div></li> </ul> </div> </div> </div> </div> </div> </div> </div> </div> </div> <div role="tabpanel" class="tab-pane fade" id="guidance"> <div class="field field--name-field-tab-content field--type-block-field field--label-hidden field__items"> <div class="field__item"><div class="views-element-container block block-views block-views-blocktopic-pages-by-industry-issue-block-3" id="block-views-block-topic-pages-by-industry-issue-block-3" data-block-plugin-id="views_block:topic_pages_by_industry_issue-block_3"> <div class="content"> <div><div class="view view-topic-pages-by-industry-issue view-id-topic_pages_by_industry_issue view-display-id-block_3 js-view-dom-id-eff9c65f3306c2d648186ba1892744a21bf1764ce712548d067ca234fab0a34b"> <div class="view-content"> <div class="item-list"> <ul> <li><div class="views-field views-field-field-core-content-type-tax"><strong class="field-content">Compliance Tools</strong></div><div class="views-field views-field-title"><span class="field-content"><a href="/filing-reporting/finra-gateway/dynamic-reporting" hreflang="en">FINRA Gateway Reports</a></span></div><div class="views-field views-field-body"><div class="field-content">FINRA Gateway Reports, previously referred to as Dynamic Reporting, helps firm staff answer common questions and make informed decisions using FINRA data. Choose from templates for firm, branch, individual, or filing data to create your own custom reports.</div></div><div class="views-field views-field-field-core-official-dt"><em class="field-content">October 04, 2019</em></div></li> <li><div class="views-field views-field-field-core-content-type-tax"><strong class="field-content">Interpretive Letter</strong></div><div class="views-field views-field-title"><span class="field-content"><a href="/rules-guidance/rulebooks/rule-letter/interpretive-letter-kevin-l-palmer-wma-securities-inc" hreflang="und">Interpretive Letter to Kevin L. Palmer, WMA Securities, Inc.</a></span></div><div class="views-field views-field-body"><div class="field-content">During the period a registered representative is inactive for failure to complete the Regulatory Element, a member may pay the registered representative fees or commissions earned by the representative prior to the period of inactivity unless the member has a policy that prohibits it. However, a member may not pay the inactive registered representative commissions on securities sales that occur during the period that the registered representative is inactive.</div></div><div class="views-field views-field-field-core-official-dt"><em class="field-content">October 02, 2001</em></div></li> </ul> </div> </div> </div> </div> </div> </div> </div> </div> </div> <div role="tabpanel" class="tab-pane fade" id="news-releases"> <div class="field field--name-field-tab-content field--type-block-field field--label-hidden field__items"> <div class="field__item"><div class="views-element-container block block-views block-views-blocktopic-pages-by-industry-issue-block-4" id="block-views-block-topic-pages-by-industry-issue-block-4" data-block-plugin-id="views_block:topic_pages_by_industry_issue-block_4"> <div class="content"> <div><div class="view view-topic-pages-by-industry-issue view-id-topic_pages_by_industry_issue view-display-id-block_4 js-view-dom-id-1b94671d7d07dacd87b7e4a8966a8efae4491e24cd0e69fcb76f9eab01b5836e"> <div class="view-content"> <div class="item-list"> <ul> <li><div class="views-field views-field-title"><span class="field-content"><a href="/media-center/news-releases/2018/ce-council-and-finra-request-comment-potential-enhancements-securities-industry-continuing-education" hreflang="und">CE Council and FINRA Request Comment on Potential Enhancements for the Securities Industry Continuing Education (CE) Program</a></span></div><div class="views-field views-field-field-core-official-dt"><em class="field-content">September 06, 2018</em></div></li> <li><div class="views-field views-field-title"><span class="field-content"><a href="/media-center/news-releases/2017/finra-offers-continuing-education-courses-cfp-professionals" hreflang="und">FINRA Offers Continuing Education Courses to CFP Professionals </a></span></div><div class="views-field views-field-field-core-official-dt"><em class="field-content">May 31, 2017</em></div></li> <li><div class="views-field views-field-title"><span class="field-content"><a href="/media-center/news-releases/2008/finra-fines-suspends-16-state-farm-representatives-test-taking-irregularities-firms-continuing" hreflang="und">FINRA Fines, Suspends 16 State Farm Representatives for Test-Taking Irregularities in the Firm's Continuing Education Program</a></span></div><div class="views-field views-field-field-core-official-dt"><em class="field-content">March 06, 2008</em></div></li> </ul> </div> </div> </div> </div> </div> </div> </div> </div> </div> <div role="tabpanel" class="tab-pane fade" id="investor-education"> <div class="field field--name-field-tab-content field--type-block-field field--label-hidden field__items"> <div class="field__item"><div class="views-element-container block block-views block-views-blocktopic-pages-by-industry-issue-block-5" id="block-views-block-topic-pages-by-industry-issue-block-5" 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