FINRA Regulatory Continuing Education Prep Course

The FINRA Continuing Education program is a two-part system consisting of the Regulatory Element along with the Firm Element. The Firm Element is designed and implemented within each FINRA member firm. The Regulatory Element is presented through a series of FINRA Continuing Education programs.

As of January 1, 2023 FINRA has made substantial changes to its regulatory continuing education requirements. Registered agents and principals will now be required to complete FINRA’s regulatory continuing education program annually by December 31st. This schedule replaces the former CE cycle, administered on the second and fifth anniversary of registration and every 3 years thereafter.  The courses to be administered will be tailored to each representative or principal registration category held by the individual. FINRA  and the CE Council will publish the targeted learning topics for each registration category no later than October 1st of the previous year. These courses replace the S101 and S201 courses administered to agents and principals respectively. Agents who fail to complete the required regulatory CE training program by December 31st will be placed into inactive status. During this time the individual may not act in any capacity that requires an active registration. Agents will not be allowed to receive commissions or interact with customers until the regulatory requirement is satisfied. Each participant will complete the training through FINRA’s online FinPro system. The employing firm will be copied on system generated notifications to track compliance.   

Course Details

The cost for FINRA’s CE program is $18 per year.  The course is administered through the FinPro system.

The program can be started and stopped at will given each applicant the opportunity to finish at their own pace.

Requirements 

FINRA’s annual CE requirement must be completed by all registered agents and principals by December 31st.

Prep Course Outline

At the Securities Institute our goal is to help you prepare for success. This is why we have created our new Regulatory CE training program. Designed to help you both learn and master the material, our CE training program covers the important topics you need to know to successfully complete your annual CE requirement.

Designed by top industry experts we realize this is more than just another course. It is a stepping-stone for your career and one that you can use to help you enhance your knowledge base as you work through your required continuing education requirements.

The Securities Institute CE Training Program Includes:

• 5 Hours of Video Training
• Reading Assignments
• Q&A Tests