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# CE Council

Securities Industry / Regulatory Council on Continuing Education

## Sitemaps

- [XML Sitemap](https://cecouncil.com/sitemap.xml): Contains all public & indexable URLs for this website.

## Posts

- [Potential 2027 Regulatory Element Topics Published](https://cecouncil.com/potential-2027-regulatory-element-topics-published/) - FINRA and the CE Council have announced the topics currently under consideration for inclusion in the 2027 Regulatory Element. These topics are subject to change. FINRA and the CE Council will publish the 2027 Regulatory Element learning plan topics by Oct. 1, 2026.
- [CE Resources](https://cecouncil.com/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. General Resources CE Program Requirements Reference Sheet Firm Element Resources CE Council Guide to Firm Element CE Programs Firm Element Needs Analysis Guide Needs Analysis - Word Templat Needs Analysis - Excel Template Firm
- [SEC Announces 2026 Exam Priorities](https://cecouncil.com/sec-announces-2026-exam-priorities/) - The Securities and Exchange Commission’s Division of Examinations today released its 2026 examination priorities. The Division publishes its annual examination priorities to provide transparency to registrants and investors about the topics that the Division plans to focus on in the new fiscal year and to encourage firms to direct their compliance efforts on areas of
- [2026 FINRA Annual Regulatory Oversight Report Published](https://cecouncil.com/2026-finra-annual-regulatory-oversight-report-published/) - The 2026 FINRA Annual Regulatory Oversight Report (the “Report”) provides FINRA member firms (“firms”) with insight into findings from FINRA’s regulatory operations programs. The Report reflects FINRA’s commitment to providing transparency to firms and the public about our regulatory observations and activities. Click here for the full report.
- [FINRA Information Notice 8/14/25 - FINRA Reminds Registered Persons and Firms of Continuing Education Requirements](https://cecouncil.com/finra-information-notice-8-14-25-finra-reminds-registered-persons-and-firms-of-continuing-education-requirements/) - Summary FINRA is providing information in this Notice to remind registered persons and firms of the continuing education (CE) requirements, including: this year’s Regulatory Element training assignments and completion deadline of December 31, 2025; resources available to firms for facilitating compliance with the annual Regulatory Element requirements; and resources available to guide firms creating their
- [2025 SEC Exam Priorities Announced](https://cecouncil.com/2025-sec-exam-priorities-announced/) - The Securities and Exchange Commission’s Division of Examinations released its 2025 examination priorities. The Division publishes its examination priorities annually to inform investors and registrants of potential risks in the U.S. capital markets and to make them aware of the examination topics that the Division plans to focus on in the new fiscal year.
- [2025 FINRA Annual Regulatory Oversight Report Published](https://cecouncil.com/2025-finra-annual-regulatory-oversight-report-published/) - The 2025 FINRA Annual Regulatory Oversight Report (the Report) provides FINRA member firms (firms) with insight into findings from FINRA’s regulatory operations programs. The Report reflects FINRA’s commitment to providing transparency to firms and the public about our regulatory observations and activities. Click here to access the Report.
- [2025 Regulatory Element Topics Published](https://cecouncil.com/2025-regulatory-element-topics-published/) - FINRA and the CE Council have published the 2025 learning topics for each registration category. The 2023 and 2024 learning plans are can still be accessed through this link as well. Regulatory Element Learning Topics Tool
- [FINRA Information Notice July 12, 2024 FINRA Reminds Registered Persons and Firms of Continuing Education Requirements](https://cecouncil.com/wp-content-uploads-2024-07-information-notice-071224-pdf/) - information-notice-071224
- [2024 FINRA Annual Regulatory Oversight Report](https://cecouncil.com/2024-finra-annual-regulatory-oversight-report/) - 2024-annual-regulatory-oversight-report
- [FINRA Information Notice 11.2.23: FINRA Reminds Firms of Continuing Education Firm Element Rule Changes](https://cecouncil.com/finra-information-notice-11-2-23-finra-reminds-firms-of-continuing-education-firm-element-rule-changes/)
- [SEC Division of Examinations Announces 2024 Priorities](https://cecouncil.com/sec-division-of-examinations-announces-2024-priorities/) - The Securities and Exchange Commission’s Division of Examinations today released its 2024 examination priorities to inform investors and registrants of the key risks, examination topics, and priorities that the Division plans to focus on in the upcoming year. This year’s examinations will prioritize areas that pose emerging risks to investors or the markets in addition to core
- [The 2024 Annual Regulatory Element topics have been published on finra.org](https://cecouncil.com/the-2024-annual-regulatory-element-topics-have-been-published-on-finra-org/)
- [FINRA Information Notice 3/15/23: FINRA Opens a Second Enrollment Period for the Maintaining Qualifications Program](https://cecouncil.com/finra-information-notice-3-15-23-finra-opens-a-second-enrollment-period-for-the-maintaining-qualifications-program/)
- [FINRA Information Notice 7/26/23: FINRA Reminds Registered Persons and Firms of Continuing Education Regulatory Element Annual Deadline](https://cecouncil.com/finra-information-notice-7-26-23/)

## Pages

- [Home](https://cecouncil.com/) - The Council provides advice and guidance on the development, implementation and ongoing operation of the Securities Industry Continuing Education Programs and the Maintaining Qualifications Program.
- [Firm Element  Resources](https://cecouncil.com/firm-element-resources/) - Firm Element Resources The CE Council has created several resources to help firms create effective Firm Element training programs. These resources are designed to aid firms in creating written training plans, selecting training topics and document completion of training. CE Council Guide to Firm Element Continuing Education Programs This guide is intended to support development
- [Council Members](https://cecouncil.com/the-council/council-members/) - Council Members The Council is composed of industry members from broker-dealers that represent a broad cross section of industry firms and of representatives from self-regulatory organizations (SROs). The Council also includes liaisons from the SEC and NASAA. Apply to Become A Member Council Chairperson Harry Striplin Compliance Consultant Paulson Investment Company, LLC Lake Oswego, OR
- [Firm Element Focus](https://cecouncil.com/firm-element-focus/) - Firm Element Focus The Securities Industry/Regulatory Council on Continuing Education (Council) publishes the Firm Element Focus to assist industry participants with identification of potential topics to include in Firm Element training plans. Topics are identified from a review of industry, regulatory and self-regulatory organization (SRO) announcements, publications of significant events, the annual report from FINRA’s
- [Exam Validity Extension Program (EVEP)](https://cecouncil.com/exam-validity-extension-program-evep/) - Overview Like FINRA’s MQP, NASAA’s Exam Validity Extension Program (EVEP) allows a registered representative or an investment adviser representative (IAR) to extend their state qualifications (S63, S65) if these registrations are no longer held with a broker-dealer or investment adviser, for up to five years. EVEP is split up between two separate programs: AG EVEP
- [Securities Industries CE Programs](https://cecouncil.com/securities-industries-ce-programs/) - Securities Industry CE Programs There are several types of continuing education (CE) that an individual in the securities industry may be required to complete. These requirements are based on the registrations and other designations held by the individual. The diagram below lists some of the more common registrations and designations. Click on each circle to
- [Training Resources](https://cecouncil.com/training-resources/) - The CE Council has developed and promotes a variety of resources to help firms plan their CE programs. You can find resources for developing Firm Element programs on our Firm Element Resources page. You can also access our Firm Element Focus for the latest training topics and view Frequently Asked Questions. You can also
- [CE Programs](https://cecouncil.com/ce-programs/) - The Council on Continuing Education (the Council) provides advice and guidance on the development, implementation and ongoing operation of the Securities Industry Continuing Education Programs. This primarily consists of two programs: The Regulatory Element The Firm Element For additional information on these programs and other related CE, please visit our CE Overview page.
- [Firm Element](https://cecouncil.com/firm-element/) - Firm Element RequirementThe Firm Element requirements apply to all registered persons. Annually, each firm must analyze and evaluate its training needs to provide a firm-developed and administered training program. This training keeps registered employees current on topics related to their professional responsibility. The Firm Element requires broker-dealers to conduct a Needs Analysis to develop a
- [Frequently Asked Questions](https://cecouncil.com/frequently-asked-questions/) - These Frequently Asked Questions (FAQs) are provided only as a guide to help firms plan, develop, and implement a Continuing Education (CE) Firm Element Program. Each firm must consider its size, structure, scope of business, applicable requirements, and any regulatory concerns to ensure that its training program is in accordance with its annual needs analysis
- [Become a Member](https://cecouncil.com/become-a-member/) - Become a Member CE Council members from member firms are typically selected to serve a four-year term. Each year, during the third quarter, a cohort of members are selected from a pool of candidates reviewed by a committee that determines who will join the Council. Visit our Overview for Potential Nominees for more information on
- [The Council](https://cecouncil.com/the-council/) - About Us The Council on Continuing Education (the Council) provides advice and guidance on the development, implementation and ongoing operation of the Securities Industry Continuing Education Programs and the Maintaining Qualifications Program (MQP). These programs keep registered individuals current on industry regulations and allow individuals who are out of the industry to maintain their qualifications
- [Mission and History](https://cecouncil.com/mission-and-history/) - About Us The Council on Continuing Education (the Council) provides advice and guidance on the development, implementation and ongoing operation of the Securities Industry Continuing Education Programs and the Maintaining Qualifications Program (MQP). These programs keep registered individuals current on industry regulations and allow individuals who are out of the industry to maintain their qualifications
- [CE Council Guide to the Regulatory Element](https://cecouncil.com/ce-council-guide-to-the-regulatory-element/) - HELPFUL INFORMATION ABOUT THE REGULATORY ELEMENTThese 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. Course assignments are based on registrations. Learn more about assignments by registration category by visiting View a Regulatory Element Learning Plan. Individuals who have
- [For Member Firms](https://cecouncil.com/for-member-firms/) - This program can be helpful if a registered individual plans to: take a career break; transition to a role that doesn’t require FINRA registration; maintain certain qualifications not supported by their member firm; or explore other opportunities in the financial services industry. Responsibilities and Obligations Member firms are not responsible for supervising MQP or EVEP
- [Maintaining Qualifications Program (MQP)](https://cecouncil.com/maintaining-qualifications-program-mqp/) - The MQP The Maintaining Qualifications Program (MQP) provides eligible individuals who terminate their registrations with the option of maintaining their qualifications by completing annual continuing education (CE). Individuals who choose this option have up to five years in which to reregister with a member firm without having to requalify by exam or having to obtain
- [Regulatory Element FAQs](https://cecouncil.com/regulatory-element-faqs/) - To help firms and their registered persons with Regulatory Element requirements, the CE Council has provided answers to a number of frequently asked questions. FAQ Categories General Course Assignments Completing Courses Dual Registrants Frequently Asked Questions General Who determines the topics for Regulatory Element, and how? The Regulatory/Practical Element Committee of the CE Council meets
- [Regulatory Element](https://cecouncil.com/regulatory-element/) - Regulatory Element Overview To keep registered persons current on regulatory requirements and industry trends, each registered person is annually assigned Regulatory Element Continuing Education (“Regulatory Element”). The courses are designed to keep registered persons current on topics related to the registrations that they hold (e.g., Series 7/GS, Series 79/IB), not on their individual roles and
- [Maintaining Qualifications](https://cecouncil.com/maintaining-qualifications-program/) - Overview There are two programs available to help individuals maintain their qualifications while not associated with a firm or active in the industry. Maintaining Qualifications Program (MQP) Exam Validity Extension Program (EVEP)
- [FAQ for MQP and EVEP](https://cecouncil.com/faq-for-mqp-and-evep/) - How long can I hold my qualifications through the MQP and/or EVEP if I leave the industry? If you are enrolled in the MQP and/or EVEP and all annual requirements are met, your qualifications will be extended for up to five years from the date of termination. What happens to my qualifications if I don’t
- [Quarterly Highlights](https://cecouncil.com/quarterly-highlights-3/) - Introduction The Securities Industry/Regulatory Council on Continuing Education (Council) publishes the Firm Element Needs Analysis Quarterly Highlights to assist industry participants with identification of potential topics to include in Firm Element training plans. Topics are identified from a review of industry, regulatory and self-regulatory organization (SRO) announcements, publications of significant events, and the annual report
- [Contact Us](https://cecouncil.com/contact-us/) - Contact Us To contact us with additional questions, comments or a request for information, you may e-mail us at cecounciladmin@cecouncil.org. "*" indicates required fields First Name*Last Name*Email* Message*
- [CE Council Application](https://cecouncil.com/ce-council-application/) - CE Council CE Council industry members, who are registered with member firms, are selected annually to serve a 4-year term. CE Content members are selected based on expertise and experience. There is no membership term and individuals are invited to participate as needed. Name First Last CRD#TitleFirm/Company Name:Firm/Company CRD#Primary Responsibilities/Areas of ExpertiseInterested in Participating in
- [Sign Up for Updates](https://cecouncil.com/sign-up-for-updates/) - Name First Last Email Firm Name
- [Site Map](https://cecouncil.com/site-map/) - Become a Member CE Council Application CE Council Guide to the Regulatory Element CE Programs Contact Us Exam Validity Extension Program (EVEP) FAQ for MQP and EVEP Firm Element Firm Element Resources Firm Element Focus For Member Firms Frequently Asked Questions Home Maintaining Qualifications Maintaining Qualifications Program (MQP) Mission and History Privacy Policy Quarterly Highlights
- [Market Integrity](https://cecouncil.com/firm-element-focus/market-integrity/)
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- [Firm Operations](https://cecouncil.com/firm-element-focus/firm-operations/)
- [Thank You](https://cecouncil.com/thank-you/) - Thanks for contacting us! We will get in touch with you shortly.
- [Privacy Policy](https://cecouncil.com/privacy-policy/) - Privacy Please click on the link to the Privacy Policy regarding the collection and dissemination of personal information.
- [About Us](https://cecouncil.com/about-us/)

## Headlines

- [Call for Nominations](https://cecouncil.com/headlines/call-for-nominations/) - CE Council is now accepting applications for new industry members for 2027. The deadline to apply is July 31st. To make a meaningful contribution to CE, apply to become a CE Council member here.
- [Regulatory Element Survey Results](https://cecouncil.com/headlines/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 of CE Findings](https://cecouncil.com/headlines/review-of-ce-findings-2/) - Review FINRA's most common CE related exam findings and learn about effective practices to meet requirements. CE Council - Summary of CE findings
- [Updated CE Transformation Playbook](https://cecouncil.com/headlines/this-is-a-long-news-headline-title-2/) - This document is intended to help firms and securities professionals take full advantage of recent changes to the CE Program. CE Transformation Playbook

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