Regulatory Alerts2023-07-26 | Information Notice 7/26/23Added · Updated
FINRA Reminder of Continuing Education Regulatory Element Annual Deadline
FINRA reminds registered persons and firms that the annual deadline to complete the Regulatory Element Continuing Education training is December 31, 2023, pursuant to amended FINRA Rule 1240. Registered persons who fail to complete their required courses by this date will be automatically designated as CE inactive, prohibiting them from performing or receiving compensation for any activities requiring registration. If an individual remains in CE inactive status for two years, their registration(s) will be administratively terminated by FINRA.
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