CE Transformation - New Resources
Reg Notice 21-41 announced upcoming changes to the Regulatory Element CE Program and the creation of the Maintaining Qualifications Program (MQP) for individuals currently out of the industry. The CE Transformation Playbook has been created by the CE Council to help firms manage CE Transformation.
Firm Element
The Firm Element consists of annual, firm-developed and administered training programs designed to keep specified covered employees current regarding job- and product-related subjects.
The Council
Council has advisory and consultative responsibilities with regard to the development, implementation and ongoing operation of the Continuing Education Program in the Securities Industry.
Information about the Mission, Members, History, and other Information are available here.
Regulatory Element
Due to the challenges presented by Covid-19, FINRA will extend all Regulatory Element requirements that are currently expired, or will expire, between March 16, 2020 and May 2020. Each Regulatory Element end date will be extended through the same end date of May 31, 2020.
For additional information on Continuing Education (CE) Online, please visit FINRA's website.
industry news
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FINRA Information Notice 4.19.22 FINRA Membership Application Program Transformation
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FINRA Regulatory Notice 22-09 Accelerated Processing of Arbitration Proceedings
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CBOE Regulatory Circular 22-007 Option Customer Account Approval and Supervision
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CBOE Regulatory Circular 22-006 Upcoming Continuing Education Program Changes and Key Dates