CE Transformation - New Resources
Reg Notice 21-41 announced upcoming changes to the Regulatory Element CE Program and the creation of the Maintaining Qualifications Program (MQP) for individuals currently out of the industry. The CE Transformation Playbook has been created by the CE Council to help firms manage CE Transformation.
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
The Regulatory Element has transitioned to an annual requirement and registered persons must complete by 12/31.
For additional information on Continuing Education (CE) Online, please visit FINRA's website.