Continuing Education
Chapters in this video
- 0:00 Regulatory Element: the December 31 deadline and per-category rule
- 1:50 CE inactive status versus terminated registration
- 2:52 Firm Element: the firm-designed written training plan
- 3:55 Annual evaluation requirement and the 18-month trap
- 4:36 AML training and annual compliance meeting as credit
- 5:08 No-pay rule for suspended and barred persons
- 6:18 Misleading registration information and shared firm liability
- 6:58 Rapid-fire exam recap
What this video covers
- The Regulatory Element deadline of December 31 annually for each registration category held, and what the Financial Industry Regulatory Authority (FINRA) publishes by October 1
- Why a person holding both the Series 7 and the Series 24 owes two separate Regulatory Element completions per year, not one
- The distinction between CE inactive status and terminated registration: a person who misses the deadline remains an associated person under regulatory jurisdiction
- The Firm Element written training plan: what it must cover, who it covers, and why the annual evaluation requirement is strict even when nothing has changed
- How anti-money laundering (AML) training and the annual compliance meeting can count toward Firm Element satisfaction without creating the obligation
- The scope of the no-pay rule for suspended or barred persons: zero salary, zero commissions on post-bar activity, and zero clerical or ministerial work
- Why filing a false Form U4 triggers liability for both the individual and the firm, and the ongoing duty to correct misleading registration information
Read the full lesson, free
This video's complete written lesson is free to read in the CertFuel app, no signup wall. The complete Series 24 course also includes adaptive practice questions and spaced-repetition flashcards, free through the end of 2026.