Regulatory Element

2024 Regulatory Element CE Survey Results Report

In July 2024 the CE Council conducted an anonymous survey focused on firms’ experiences with the Regulatory Element. The survey results—available below in both composite and individual files for small, mid-size and large firms respectively—provided valuable insight into firms’ perspectives and best practices that the Council will consider in its ongoing evaluation of the CE programs.

Learning Topics

To provide sufficient time to review the Regulatory Element topics for each upcoming year, FINRA and the CE Council publish the learning topics for each registration category by Oct. 1 of each year.

The learning plan tool allows users to see what topics are assigned to each registration category, or group of registrations, in the desired calendar year.

Click here to view a Regulatory Element learning plan.

Regulatory Element Frequently Asked Questions

What is the format of the Regulatory Element content?

The content is presented through interactive e-learning courses that are accessible online, including via smartphones and other mobile devices. Regulatory Element training is presented in a variety of instructional formats.

How can a firm find out which registered individuals have completed their current CE requirement?

Firms can access dynamic reports in FINRA Gateway to assist with tracking the CE status of registered individuals. This report shows which individuals have begun and completed CE.

What happens if an individual becomes CE inactive?

Participants become CE inactive after December 31 if their Regulatory Element requirement has not been satisfied. Even if your CE session is in progress and the December 31 deadline has passed, an individual will become CE inactive and will be required to restart the CE session from the beginning. They will remain CE inactive until they complete their CE session. They are not permitted to act in a registered capacity or receive compensation for activities that require registration.

Registrations of individuals who remain CE inactive for two years will be administratively terminated, and they will need to requalify.

How much does CE cost?

The fee for annual Regulatory Element CE sessions is $18, which will be charged to the firm’s account upon completion of the program by participants. This fee is standard for all registered individuals, regardless of the number of registrations held.

Does the Regulatory Element count towards the IAR CE requirement?

Yes, the Regulatory Element can count towards the Products and Practice component of the IAR CE Requirement. For additional information on IAR CE please visit NASAA’s website.

Additional Information

For additional information on accessing and completing the CE program, please use the following resources: