(New) CE Transformation Rule Changes Approved by the SEC

FINRA Rule Filing SR-FINRA-2021-015: Proposed Rule Change to Amend FINRA Rules 1210 (Registration Requirements) and 1240 (Continuing Education Requirements) was approved by the SEC September 21, 2021. 

Click here to view the approval order.

Firm Element

The Firm Element consists of annual, firm-developed and administered training programs designed to keep specified covered employees current regarding job- and product-related subjects.

The Council

Council has advisory and consultative responsibilities with regard to the development, implementation and ongoing operation of the Continuing Education Program in the Securities Industry.

Information about the Mission, Members, History, and other Information are available here.


Regulatory Element

Due to the challenges presented by Covid-19, FINRA will extend all Regulatory Element requirements that are currently expired, or will expire, between March 16, 2020 and May 2020.  Each Regulatory Element end date will be extended through the same end date of May 31, 2020.


For additional information on Continuing Education (CE) Online, please visit FINRA's website.