Firm Element FINRA e-Learning Requirements

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FINRA Firm Element CE Program Requirements for Registered Representatives

FINRA Rules

Who is required to complete the FINRA CE Program Requirements?

All active registered representatives and those associated members who participate in FINRA’s MQP are required to complete firm element and regulatory element training as directed by their firm and/or FINRA.

What is the MQP and how do individuals participate?

The Maintain Qualifications Program (MQP) is for individuals who have left the securities industry for non-disciplinary reasons allowing them to re-enter the securities industry within five years without having to re-take registration exams as long as they comply with firm element and regulatory element requirements. To participate individuals must opt in and create a FinPro account with FINRA. This is where you will receive notification of any continuing education (CE) required to keep your registration(s) in compliance with the MQP program.

What are the CE program requirements for FINRA Registered Representatives?

The FINRA continuing education requirements are composed of two elements:
  • Firm element
  • Regulatory element
Both components must be completed to stay in compliance with FINRA rules.

How many hours of firm element must a registered representative completed annually?

There is no required number of hours; the decision on which courses to complete and which topics to cover is at the broker-dealer's discretion.

Are there any subject area requirements for FINRA e-Learning Training?

FINRA considers annual training on topics relevant to the business of the broker-dealer firm, annual compliance meeting, and anti-money laundering training as components of the firm element training.

When does FINRA e-Learning Training have to be completed?

Annually

Can FINRA e-Learning Training courses be repeated?

Yes, the course selection is at the discretion of the broker-dealer firm.

Can FINRA e-Learning Training course hours carry over to the next renewal cycle?

Excess CE hours are not allowed to be carried forward to the next cycle.

How can Firm Element or FINRA e-Learning Training be completed?

Firm element training can be successfully completed through a variety of means, including online courses, in-person meetings, webinars, conferences and other means that can be tracked by the broker-dealer. Firm element training and selected format for that training are at the discretion of the broker-dealer firm.

Does Firm Element or FINRA e-Learning Training count toward IAR CE?

Firm element training only counts toward IAR CE if the firm element training materials are approved by NASAA.

When does the Regulatory Element Training have to be completed?

Annually.

How can the Regulatory Element Training be completed?

Regulatory Element can be completed through FINRA’s FinPro Gateway

Are there any subject area requirements for Regulatory Element Training?

FINRA will publish topics to be covered by the regulatory element in October of the previous calendar year.

Does the Regulatory Element count towards IAR CE compliance?

The regulatory element may be considered an equivalent to the products and practices portion of the IAR CE requirement. Individuals must submit a request to have their regulatory element applied to their IAR CE requirement to FINRA and they must pay the required roster fee of $18.

What are the FINRA e-Learning Training course requirements?

  • FINRA e-Learning courses may or may not require a non-monitored final exam. In some courses the required interactivity and quizzes within the course material are sufficient to complete the course without a final exam. In other courses, a final exam is required.

What is the access period for FINRA e-Learning Training courses?

12 months from the original date of purchase

How often does WebCE report FINRA e-Learning Training course completions?

WebCE does not report course completions. Course completions are stored in the WebCE system and broker-dealer administrators have access to reports for tracking and audit purposes.

Who to contact for additional questions

FINRA

  • Phone: 301-590-6500
  • Mailing Address:
    1735 K Street, NW
    Washington, DC 20006
  • Email
  • Website: www.finra.org
This information is based on FINRA laws and regulations and is subject to change. WebCE makes every effort to make sure this information is current and accurate, however, WebCE is not engaged in rendering legal or professional advice and shall not be held responsible for inaccuracies contained herein. We urge you to check with your registration/licensing department for complete and current information about its rules and requirements.
Last updated on 3/29/2022
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