Series 24 and Continuing Education Requirements

🧾 Series 24 and Continuing Education Requirements
📘 Staying Compliant After Passing the General Securities Principal Exam

The Series 24 exam qualifies individuals to supervise or manage branch activities of broker-dealers. But earning the credential is only the beginning. To maintain your Series 24 registration, you must comply with FINRA’s continuing education (CE) requirements. Here’s what you need to know to stay in good standing.

🎯 1. What Is the Series 24 License?

The Series 24—also known as the General Securities Principal Qualification Exam—allows you to:

• Supervise registered representatives.
• Approve advertising and communications.
• Oversee trading and market-making.
• Manage compliance and operational functions.

You must already be registered as a general securities representative (Series 7 or equivalent) before qualifying.

📅 2. FINRA Continuing Education (CE) Requirements

FINRA mandates two key types of CE for registered individuals, including Series 24 holders:

✅ Regulatory Element

• Who: All registered persons (including Series 24)
• When: Must be completed annually, by December 31
• Delivery: Online via FINRA’s FinPro system
• Content: Tailored to your registration (e.g., supervisory content for Series 24 principals)

✅ Firm Element

• Who: Applies to “covered persons” as defined by your broker-dealer
• When: Annually (schedule set by your firm)
• Content: Customized by your firm based on:
  • Product offerings
  • Regulatory updates
  • Sales practices
  • Firm procedures

🧠 3. Consequences of Non-Compliance

• Failure to complete Regulatory CE results in inactive status for your Series 24 registration.
• You cannot function in a principal or supervisory capacity while inactive.
• After a two-year lapse, your Series 24 license expires, and you must retake the exam to reactivate it.

📊 4. Recommended Best Practices

• Log into FINRA FinPro early each year to complete CE before the deadline.
• Work with your firm’s compliance team to ensure timely completion of Firm Element training.
• Keep track of your CE history and request reminders if your firm offers them.
• Review regulatory updates regularly—Series 24 CE content often reflects changes in FINRA and SEC rules.

🚀 Conclusion: Stay Sharp and Stay Registered

Passing the Series 24 is a major achievement—but maintaining it is just as important. Stay compliant by completing both Regulatory and Firm Element CE requirements annually. This ensures you remain eligible to supervise, manage, and lead within your broker-dealer firm.

🎓 Need help preparing for Series 24 or ongoing CE strategy?
Access study tools, practice exams, and compliance tips at
👉 https://finra-exam-mastery.com

Lead confidently. Stay licensed. Stay current.