10.07.22

Get Ready: FINRA’s New CE Rules Start in January

by: Melanie Waddell

As a part of a revamp of the Financial Industry Regulatory Authority’s (FINRA) continuing education (CE) program, broker-dealers and their representatives face new requirements beginning in January, with courses likely to drill down on the U.S. Securities and Exchange Commission’s Regulation Best Interest. Last November, FINRA adopted changes to its CE and registration rules, which included, among other measures, requiring those registered with FINRA to complete continuing education requirements yearly instead of every three years.

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