The Securities Industry/Regulatory Council on Continuing Education (the Council), provides advice and guidance on the development, implementation and ongoing operation of the Securities Industry Continuing Education Programs through its members from broker-dealers, the Securities and Exchange Commission, the MSRB, FINRA, CBOE, and the North American Securities Administrators Association. In collaboration with the Council, FINRA’s Testing and Continuing Education department manages the day-to-day operations of the securities industry’s Continuing Education Programs.
FINRA's CE department staff is responsible for developing engaging and meaningful learning materials for the securities industry through its work with Content Committees comprised of industry experts and regulatory representatives. FINRA staff manages the Content and Council meetings, and maintains current information on the Council's website, www.cecouncil.com, as well as on the Continuing Education section of www.finra.org. The CE department also works closely with FINRA's general counsel office on rule filings, as well as with technology and operations departments to ensure that the programs are updated and delivered in a timely manner. Throughout this entire process, the programs reinforce FINRA's core mission of investor protection and market integrity.