Firm Element Topics

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What is WebCE's relationship to FINRA?

FINRA is the Financial Industry Regulatory Authority that governs the securities industry (along with other government agencies such as FiNCen and the SEC). WebCE is one of only 3 approved providers of FINRA-authored e-learning content.

WebCE is the nation's largest continuing education provider for insurance and financial planning professionals and also offers courses designed to meet FINRA education requirements for registered representatives.


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How are FINRA courses offered on this site?

FINRA has a library of 99 courses which they now license to pre-approved resellers. FINRA no longer delivers the e-learning courses. There are only three vendors in the industry (including WebCE) who are currently approved to resell these courses.

WebCE provides a concierge approach to Firm Element training, and provides fully customizable programs for firms of all sizes with no contracts or setup costs.

  1. Become a WebCE Firm Element client
  2. Select the course(s) you wish to take
  3. WebCE handles the registrations for you

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Where do I get training for the Regulatory Element examination?

Regulatory Element (Often referenced as the S101 or S201 exam) is one of two components of continuing education for the securities industry. It is required to be completed by Registered Representatives every three (3) years. It is a refresher/test of rules and regulations required by FINRA and administered through a testing center.  WebCE does not currently support the Regulatory Element.

Contact FINRA directly at 301-590-6500 regarding regulatory element (S101 or S201) resources.


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What courses are required?

The courses and due dates to satisfy the annual Firm Element education requirement are determined by the firm and are consistent with the firm’s business model. Consult your firm’s compliance department/officer to verify your required training plan.  All firms must train on Anti-Money Laundering (AML) annually.
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Where do I get the FINRA AML course?

Anti-Money Laundering (AML) training is required annually for all firm’s conducting securities business. As such, many firms have their own AML modules OR will accept a nationally recognized AML training such as FINRA module(s), or WebCE’s Anti-Money Laundering for the Insurance Industry.

There are actually numerous FINRA AML modules, with each one being about 15-30 minutes of content. Consult your firm’s compliance department/officer to verify your required training plan before going to the catalog, or complete WebCE’s comprehensive Anti-Money Laundering for the Insurance Industry course to satisfy the requirement. The WebCE course is also approved for state insurance CE and CFP® CE credit!


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Do you offer an Annual Compliance Meeting (ACM) program?

No.  WebCE does not currently support the annual compliance meeting.
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How long are the firm element courses?

There is no required number of hours mandated by FINRA for Firm Element training, but you must complete the topics identified in your Firm’s Training plan.

Most firm element modules are short (15-30 minutes), however courses approved for dual credit for insurance or designations like CFP will typically be longer, and may have additional examination or seat time requirements.


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Will you prepare and administer an Annual Compliance Questionnaire (ACQ)?

Yes.  However, we require input from the Broker-Dealer (BD) firm to do so.  There is no "standard" ACQ since the primary purpose is for confirmation of information on customer complaints, disciplinary actions, change of personal information, outside business activities, etc.
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Do you offer courses for supervisors?

Yes, we have the full catalog of FINRA courses available as well as a library of WebCE owned courses that are appropriate for various roles, such as supervisors, as well as courses tailored to specific business models.
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Do your courses include interaction?

Yes.  Most of our firm element text-based courses (including FINRA e-learning modules) include some form of interactions.  WebCE also offers courses that are audio/video based.
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Creating and editing your UserID

  • In most cases, you can use your email address as your userID.  
  • If you did not create your own userID, you will receive a “New Account Creation” email from WebCE or your company compliance department, that will provide you with your userID. 
  • If you forgot your UserID, please call our support services team at 877-488-9308.

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Creating and resetting your password

  • Passwords need to be at least 8 characters long and must include at least 1 letter and 1 number. 
  • You can reset your password online, using WebCE’s password recovery instructions located on the “Sign In” page, or by calling our support services team at 877-488-9308.

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Updating your personal information

  • You can update your personal information in your account, by signing in and going to the “My Profile” page.   
  • If you want to change your name, please contact our support services team at 877-488-9308.  Please note, your name should match the spelling on file for your license and/or designation. 


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How can I view my course history?

Your active and completed courses will be listed under the “My Courses” page in your student account.
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How do I order courses?

Instructions for Ordering Online:
  • Go to the “Course Catalog” and select your professional license and/or designation.  You may also be asked to select a state and license type before you can proceed to the course catalog. 
  • WebCE offers a large selection of courses for multi-licensed professionals.  If additional continuing education credit is available, an option to add credit will appear in the course description page above the “Add to Cart” button. 
Instructions for Ordering by Phone:
  • To speak to a support services representative, call 877-488-9308. 

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When will I receive my course material?

  • Online course material will be available immediately on your "My Courses" page in your student account. 
  • All paper book orders are shipped UPS Ground, unless Next Day is specified at purchase.  All Ground shipments are delivered within 3-5 business days.
    • You can track your paper-book course order by logging into your online account.

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What are my payment options?

  • We accept all major credit cards, including: Visa, MasterCard, American Express and Discover.
  • To pay by check or money order, please pay to the order of WebCE, and mail your payment to:

WebCE
12222 Merit Drive, Suite 500
Dallas, TX 75251

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Can I order courses for someone else?

  • Customer accounts must be created using the same name and personal information as the professional completing the course.  
  • If you wish to place multiple orders with one credit card, please contact our support services team at 877-488-9308.

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What is WebCE’s exchange policy?

If you are not satisfied with your course and want to exchange it for another course, please contact our support services team at 877-488-9308.  Completed courses cannot be exchanged.  Additional state filing, book and shipping fees may apply.
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What is WebCE’s refund policy?

We will refund your order if you are not 100% satisfied with our products and services.  To get a refund, call our support services team at 877-488-9308. 
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What web browsers can I use to view courses?

Check the Technical Requirements page for more information. 

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Do I need to download special software to view the courses?

No. Our courses do not require any special software or plugins.
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Are WebCE courses mobile friendly?

Yes.  WebCE's delivery platform is mobile-friendly and courses may be viewed without special plug-ins or browser add-ons. Check the Technical Requirements page for more information. 
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Where do I find WebCE’s Online Privacy Statement?

WebCE’s privacy statement is located within "Terms/Privacy" at the bottom of the "Home page."
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How does WebCE use my email address?

Once you complete an order, WebCE will send you a reminder of your login information and an order confirmation for your records. From time to time WebCE or its co-brand partners may send its customers information about products or services related to their profession. WebCE may also send you a reminder of your CE requirements the next time your renewal date rolls around. If you do not wish to receive these messages, uncheck the “opt in” box from your profile page. WebCE never sells the information we receive from our customers.
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How is my personal information used?

WebCE only collects the information that is required to report credit hours and complete your certificates of completion. From time to time WebCE or its co-brand partners may send its customers information about products or services related to their profession.
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Is the WebCE site secure?

Yes. Any time you send or receive personal or credit card information to WebCE, you will see a lock at the bottom of your browser indicating you are viewing a secure page and the data flowing to or from WebCE will be encrypted. Additionally, the data stored on WebCE’s computers is secured. We take standard precautions to ensure that our systems are secure and that they meet industry standards, including the application of firewalls for our Internet-based systems.
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