CE Council Guide to the Regulatory Element

HELPFUL INFORMATION ABOUT THE REGULATORY ELEMENT

These information highlights are for both firms and registered persons.

  • Courses are assigned annually. The regulatory deadline is December 31, although firms may require earlier completion.
  • Individuals who have multiple registrations may have more course assignments.
  • Courses educate registered persons on recent changes to and core principles of regulatory requirements.
  • Courses focus on industry rules and don’t address firms’ specific job functions or policies.

Regulatory Element Collaborators

Learn more about how industry members, regulators and self-regulatory organizations (SROs) contribute to Regulatory Element content.

  • CE Council: Council members, including industry members, recommend content topics for the Regulatory Element. Visit The Council to learn more about our members.
  • CE Content Committee: Industry members, regulators and SROs meet regularly to evaluate proposed content topics, develop scenarios and review materials.
  • FINRA: The Testing and Continuing Education Department manages the day-to-day operations of securities industry CE programs in collaboration with the CE Council.
  • Other regulators, states and SROs: Cboe, MSRB, other regulators, states, and SROs are stakeholders and members of CE Council.

Best Practices and Resources for Firms

Tools

Tools available to support Regulatory Element compliance.

  • Earlier internal deadlines: Many firms set a Regulatory Element due date that is earlier than December 31. Firm deadlines can be displayed in FinPro alongside the regulatory deadline. Learn more: FINRA Gateway > Setting Firm CE Due Dates.
  • Reminder notifications: Firms can schedule automated email reminders from FinPro for January 15, April 15, July 15, October 15, December 1 and/or December 15. If applicable, these notifications include the firm due date. Learn more: FINRA Gateway > Sending CE Due Date Reminder Emails
  • Reporting/monitoring tools: Use FINRA Gateway to see completion records and other useful information. Learn more: Tracking CE Regulatory Element Statuses of Associated Persons
  • Topic publication tool: You can view next year’s Regulatory Element learning plans starting October 1 of each year. Many firms use this information while planning their Firm Element programs. Learn more: View a Regulatory Element Learning Plan

Tips

Regulatory Element best practices.

  • Establish a CE governance framework to conduct oversight, track completion and escalate issues
  • Document policies for compliance and consequences for non-completion
  • Leverage technology—use FINRA Gateway for tracking and reporting, and to automate reminders
  • Monitor the CE Council website for guidance and resources
  • Review internal procedures annually based on updates from FINRA and guidance from the CE Council
  • See how peers are managing the Regulatory Element:

2024 Regulatory Element CE Survey Results Report

2024 Regulatory Element CE Survey Results Report – Small Firms Only

2024 Regulatory Element CE Survey Results Report – Mid-Size Firms Only

2024 Regulatory Element CE Survey Results Report – Large Firms Only