Continuing Education (CE) Requirements
Chapters in this video
- 0:00 Why registration is not one and done
- 0:55 The Regulatory Element: FINRA's annual standardized checkup
- 2:42 Missing the deadline: CE inactive vs. terminated
- 3:37 The Firm Element: employer-designed training with a catch
- 4:10 The mandatory written needs analysis
- 5:09 Who must complete each element, and the AML double dip
- 5:48 Rapid-fire exam recap
What this video covers
- Why the Regulatory Element is now annual instead of every three years, and how FINRA tests this recent rule change
- How the Regulatory Element content differs by registration category through an individual's FinPro account
- What happens when a registered person misses the December 31st deadline: CE inactive status and the complete freeze on registered activities
- Why CE inactive is not the same as terminated registration, and what restores active status
- What the Firm Element requires beyond just training: the mandatory annual written needs analysis
- How the written needs analysis must evaluate firm size, structure, scope of business, regulatory developments, and Regulatory Element completion
- Why the Firm Element applies to all registered persons with no subset exceptions, and how AML training can count toward it
Read the full lesson, free
This video's complete written lesson is free to read in the CertFuel app, no signup wall. The complete SIE course in the app is free too, including adaptive practice questions and spaced-repetition flashcards.