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.
All registered persons are required to complete the Regulatory Element annually by year end for each registration that they hold. Dropping or adding a registration may result in a change to the assigned learning plan.
According to the recently issued information notice, the 2026 Regulatory Element courses have been assigned and the deadline for completing them is December 31, 2026. 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.
Registered persons who fail to complete their Regulatory Element by the annual deadline of December 31 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
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 course topics for the 2026 learning plans are available on FINRA’s View a Regulatory Element Learning Plan page. Registered persons can use the interactive tool on this page to view the course topics assigned to a registration category or group of registration categories for a given calendar year. The published course topics may also assist firms when preparing their Firm Element training plans.
The attorneys at Hyman Cotter PC regularly monitor SEC, FINRA and other self-regulatory organizations’ rule-making activities to help ensure that our clients are aware of any new policies, while assisting them in implementing any recommended changes. Our clients include broker-dealers, RIAs, banks, investment companies and hedge funds, along with registered representatives and other individuals participating in the securities industry. Should you be in need of experienced counsel regarding a matter involving a regulatory agency, please contact Hyman Cotter PC at 833-665-0784 or through our online contact form.
