11.17.21
FINRA Makes Big Adjustments to CE Rules
by: Melanie Waddell
FINRA on November 17 changed its continuing education (CE) and registration rules, which include requiring those registered with FINRA to complete CE once a year instead of once every three years. Eligible individuals who terminate any of their representative or principal registration categories will also be offered the option of maintaining their qualification for any terminated registration categories by completing annual CE through the Maintaining Qualifications Program. Registrants also must complete the CE Regulatory Element annually for each representative or principal registration category that they hold, while firms shall be allowed to consider other required training toward satisfying an individual's annual CE Firm Element and extend the Firm Element requirement to all registrants.
Read the full article on ThinkAdvisor