FINRA reminds firms and industry professionals that effective Jan. 1, 2023, FINRA and other self-regulatory organization (SRO) rules require registered persons to complete their continuing education (CE) Regulatory Element annually, by Dec. 31, for each registration that they hold.
Registered persons who fail to complete their 2023 Regulatory Element within the prescribed annual deadline of Dec. 31, 2023, will be automatically designated as CE inactive by FINRA on Jan. 1, 2024. An individual designated CE inactive is prohibited from performing, or receiving compensation for, any activities requiring registration while they remain in a CE inactive status. Firm CE contacts can get information on the Annual Regulatory Element obligations and statuses of registered persons within their firms by logging into FINRA Gateway, clicking on the Reports tab, and selecting one of the available Annual CE templates. Notifications on CE status and deadlines can be sent to firm members from within FINRA Gateway as well. Visit FINRA’s Securities Industry CE Transformation resource page for more information about the CE rule changes.
