Regulatory Element | CE Council

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 responsibilities.

Individuals access the interactive e-learning courses assigned to them through the Financial Professional Gateway (FinPro), which is accessible 24/7 on a computer or mobile device. Completion status is available on FinPro, and firms can check their personnel’s CE status via FINRA Gateway reports. Firms have the ability to set an earlier deadline than the December 31 regulatory deadline.

If an individual does not complete their annual Regulatory Element by December 31, their registration(s) becomes inactive (“CE Inactive”). If an individual is CE Inactive, they cannot perform any duties that require registration or receive related compensation. Once the individual completes the assigned courses, their registrations will be reinstated.

For more information see Continuing Education or contact cecounciladmin@cecouncil.org.

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.

Additional Information

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