Understanding FINRA’s Continuing Education Requirements

🟨 Understanding FINRA’s Continuing Education Requirements
Staying licensed means staying current.

Passing your FINRA exam is only the beginning. To maintain your registration and remain in good standing, you must complete Continuing Education (CE). This ensures that registered representatives and supervisors remain up to date on regulatory changes, products, and best practices.

Here’s a clear breakdown of what FINRA’s CE requirements include and how to stay compliant.

📚 What Is FINRA Continuing Education?

FINRA’s CE program is designed to reinforce a registered person’s knowledge and keep their skills sharp. It consists of two main components:

🟦 1. Regulatory Element

• Who completes it? All registered individuals
• Frequency: Annually (as of January 1, 2023)
• Deadline: Each year by the anniversary of your registration date
• Delivery: Online via FINRA’s FinPro system
• Content: Tailored to your registration category (e.g., Series 7, Series 24)
• Cost: Free

✅ Focuses on rule updates, compliance issues, and regulatory priorities.

🟩 2. Firm Element

• Who completes it? Most registered individuals associated with FINRA member firms
• Frequency: Annually (set by your firm)
• Administered by: Your employer
• Content: Customized to your role and business activities
• Includes: Topics like product training, firm policies, compliance updates

✅ Your firm develops a training plan based on its business model and risk profile.

🚫 What Happens If You Don’t Complete CE?

• Failure to complete the Regulatory Element on time results in your registration status becoming inactive.
• Firm Element non-compliance can lead to internal firm penalties or impact your employment.

In either case, you can’t perform duties that require FINRA registration until you’re back in compliance.

🔁 CE for Former Registered Reps – Maintaining Qualification Program (MQP)

Left the industry but might return? You can maintain your qualifications for up to 5 years by completing CE through the MQP:

• Eligibility: Must have been registered in good standing
• Complete CE annually to stay qualified without retaking exams
• Great for career flexibility

🧠 Pro Tips to Stay Compliant

• ✅ Mark your anniversary date on your calendar
• ✅ Log in to FinPro to complete CE modules
• ✅ Work with your firm’s compliance team to complete the Firm Element
• ✅ Don’t wait until the last minute—CE takes time!

🎓 Ready to Advance?

Our digital courses not only help you pass FINRA exams—they’re also a foundation for long-term success in your financial career.

📘 Explore Series 6, Series 7, 63, 65, 24, and more at
👉 finra-exam-mastery.com
Stay licensed. Stay sharp. Stay ahead.