Enhancing Continuing Education for Securities Industry Professionals
Find guidance, resources and information about the various components of the Securities Industry CE Program.
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Regulatory Element Survey Results
In July 2024 the CE Council conducted an anonymous survey focused on firms’ experiences with the Regulatory Element. Survey results can be found on the Regulatory Element Page.
Review FINRA's most common CE related exam findings and learn about effective practices to meet requirements. CE Council - Summary of CE findings
This document is intended to help firms and securities professionals take full advantage of recent changes to the CE Program. CE Transformation Playbook
FIRM ELEMENT
Do you need help with your firm element training? Discover industry trends, resources, new rules, and amendments that may be useful to train registered persons on according to your firm’s business needs.
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regulatory ELEMENT
The Regulatory Element provides training on significant rule changes and other regulatory developments relevant to each registration category. If you have questions about Regulatory Element requirements and learning topics or have an idea for a future topic, get in touch at cecouncil@finra.org.
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Maintaining qualifications
Have you recently left a FINRA member firm? Are planning on taking a break from the industry? Learn how you can maintain your FINRA qualifications for up to 5 years.
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HIGHLIGHTS
CE Transformation – New Resources
The CE Council has created numerous resources to help firms navigate recent CE changes and create effective Firm Element training programs. Transformation Resources CE Transformation Playbook
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Developing engaging and meaningful learning materials for the securities industry
The CE Council has advisory and consultative responsibilities with regard to the development, implementation and ongoing operation of the Securities Industry Continuing Education Program. This includes recommending topics for the Regulatory Element and providing guidance for Firm Element programs.
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