4.2 Continuing Education (CE)
Continuing Education ensures registered persons remain up to date on compliance, regulations, and industry ethics.
Key FINRA Exam Takeaways
- Regulatory Element: Mandatory annual online training program required for all registered persons; must be completed annually by December 31.
- CE Inactive: Failure to complete Regulatory Element on time results in immediate license suspension (cannot conduct securities business or earn commissions).
- Firm Element: Annual written training program designed and administered internally by the broker-dealer.
Interactive Knowledge Checkpoint • Section 4.2
What is the regulatory consequence if a registered representative fails to complete their mandatory FINRA Regulatory Element Continuing Education by the annual deadline?