07.27.23

Don't Forget This CE Requirement, FINRA Warns

by: Melanie Waddell

The Financial Industry Regulatory Authority (FINRA) is reminding broker-dealers and their registered representatives of the need to complete the Regulatory Element of FINRA’s continuing education (CE) requirements by the end of the year, or they'll be designated “CE inactive.” FINRA late last year adopted changes to its CE and registration rules, which stipulates that individuals registered with FINRA must complete CE requirements each year instead of every three years. The amended rule also includes changes to the provisions relating to CE inactive status. ”Specifically, registered persons who fail to complete their Regulatory Element within the prescribed annual deadline of Dec. 31 will be automatically designated as CE inactive by FINRA,” according to a FINRA notice.

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