The Financial Industry Regulatory Authority has issued an information notice reminding registered persons and firms of the authority’s continuing education (CE) requirements.
As part of Rule 1240, FINRA administers the CE program for the securities industry, consisting of two mandatory programs which must be satisfied annually by all registered persons: the Regulatory Element and the Firm Element. Regulatory Element provides training on significant rule changes and other regulatory developments relevant to each registration category. Firm Element requires member firms to conduct an annual training program for all registered persons, focusing on product knowledge, professional responsibility, and regulatory compliance specific to their role and business activities.
According to the recently issued information notice, the 2025 Regulatory Element courses have been assigned and the deadline for completing them is December 31, 2025. Also included in the notice are resources available to firms for facilitating compliance with the annual Regulatory Element requirements; along with resources to guide firms creating their Firm Element written training plans and helping them locate relevant course content to meet their training needs.
Dropping or adding a registration may result in a change to the assigned courses included in a learning plan. To complete their Regulatory Element, registered persons must access assigned courses on the CE platform through their Financial Professional Gateway account.
Registered persons who fail to complete their Regulatory Element by the annual December 31 deadline will be automatically designated as CE inactive by FINRA. Firms may request that FINRA extend the time by which a registered person must complete the Regulatory Element for good cause shown. The 2026 learning plan topics will be published later this year.
Along with Regulatory Element training, firms must maintain the Firm Element CE requirement, to enhance registered persons’ securities knowledge, skills and professionalism. At least annually, firms are required to evaluate and prioritize their training needs and develop a written training plan for the Firm Element. Under Rule 1240, firms are allowed to consider training relating to the anti-money laundering compliance program and the annual compliance meeting toward satisfying an individual’s annual Firm Element requirement.
The information notice adds that FINRA has launched a centralized catalog of CE content, called Financial Learning Experience, that serves as an optional resource for firms to administer education and training for the Firm Element written learning plans.
The attorneys at Hyman Cotter PC understand the complexities that come with being the subject of a regulatory inquiry by the SEC, FINRA, and other self-regulatory organizations, and we have the experience to guide and advise you through any type of regulatory investigation. If you are the subject of a regulatory proceeding, contact us at 312-291-4600 or through our online contact form for a free consultation.
