1 The Top 5 FINRA Exam Myths – Securities CE

  • Author: securitiesce.com
  • Published: 12/12/2021
  • Review: 4.96 (629 vote)
  • Summary: · Add to this, the pressure that is often on test takers to pass the exam so that they can assume the duties that require licensing. There is 
  • Detail: https://securitiesce.com/the-top-5-finra-exam-myths/

2 Exam FAQs – NASAA

  • Author: nasaa.org
  • Published: 10/15/2021
  • Review: 4.74 (542 vote)
  • Summary: No, participation in FINRA’s Maintaining Qualifications Program (MQP) will not automatically extend the validity of FINRA exams for state registration purposes
  • Detail: https://www.nasaa.org/exams/exam-faqs/

3 How to Keep Up With Your Continuing Education – Investopedia

  • Author: investopedia.com
  • Published: 04/14/2022
  • Review: 4.53 (591 vote)
  • Summary: 3. Those who supervise securities licensees. All licensees have 120 days to complete this portion of their continuing education requirements after they have 
  • Detail: https://www.investopedia.com/articles/professionaleducation/07/continuing-education.asp

4 FINRA’s Changes to Continuing Education – MasterCompliance

  • Author: mastercompliance.com
  • Published: 12/12/2021
  • Review: 4.36 (314 vote)
  • Summary: · Individuals who fail to complete their Regulatory Element within the prescribed annual deadline of December 31 will be automatically designated 
  • Detail: https://mastercompliance.com/2021/11/finras-changes-to-continuing-education/

5 Breakdown: FINRA Continuing Education

  • Author: ais-cpa.com
  • Published: 01/07/2022
  • Review: 4.1 (390 vote)
  • Summary: All individuals must finish computer training sessions inside of 120 days after the second anniversary of their original date of registration; failure to do so 
  • Detail: https://www.ais-cpa.com/breakdown-finra-continuing-education/

6 FINRA transforms continuing ed program | Regulatory Compliance

  • Author: regcompliancewatch.com
  • Published: 10/14/2021
  • Review: 3.9 (212 vote)
  • Summary: · Currently, FINRA’s continuing education program does not provide individuals the ability to maintain their qualifications following the 
  • Detail: https://www.regcompliancewatch.com/finra-transforms-continuing-ed-program/

7 Continuing Education Requirements for Associated Persons

  • Author: study.com
  • Published: 05/28/2022
  • Review: 3.63 (268 vote)
  • Summary: If Sarah fails to complete her regulatory element CE in the prescribed time frame, then her FINRA license will be considered inactive and she will be prohibited 
  • Detail: https://study.com/academy/lesson/continuing-education-requirements-for-associated-persons.html

8 Finra Continuing Education Online

  • Author: find-free-courses.com
  • Published: 06/16/2022
  • Review: 3.55 (594 vote)
  • Summary: Details: How Long Does It Take To Complete Finra Continuing Education? Participants must complete CE Online sessions over 120 calendar days prior to the date of 
  • Detail: https://find-free-courses.com/finra-continuing-education-online/

9 FINRA Proposes Changes to Securities CE | Kaplan Financial

  • Author: kaplanfinancial.com
  • Published: 11/24/2021
  • Review: 3.23 (475 vote)
  • Summary: · Nothing is certain but change! Securities Industry Continuing Education (CE) programs may soon undergo significant changes if new proposals are 
  • Detail: https://www.kaplanfinancial.com/resources/industry-updates/finra-proposes-big-changes-to-securities-continuing-education

10 Get to know the new IAR continuing education requirement

  • Author: investmentnews.com
  • Published: 08/23/2022
  • Review: 3.1 (323 vote)
  • Summary: · An IAR who’s also a registered representative of a Financial Industry Regulatory Authority Inc. member firm and in compliance with Finra’s 
  • Detail: https://www.investmentnews.com/get-to-know-the-new-iar-continuing-education-requirement-220336

11 What is the SIE Exam? (Securities Industry Essentials)

  • Author: staterequirement.com
  • Published: 10/01/2021
  • Review: 2.84 (113 vote)
  • Summary: If you fail the SIE, you are allowed to retake it. According to FINRA, you have to wait 30 days after the first time you fail and another 30 days if you fail 
  • Detail: https://staterequirement.com/securities-industry-essentials-exam-sie/

12 Continuing Education’s Role in the Marketplace

  • Author: stcusa.com
  • Published: 05/15/2022
  • Review: 2.86 (141 vote)
  • Summary: As a firm, you will want to make sure your employees are consistently meeting … FINRA rules require advisors to demonstrate proficiency to satisfy CE 
  • Detail: https://www.stcusa.com/resource-center/news-updates/continuing-educations-role-in-the-marketplace/

13 [PDF] Connecticut – Pearson VUE

  • Author: home.pearsonvue.com
  • Published: 07/17/2022
  • Review: 2.78 (105 vote)
  • Summary: Continuing Education Handbook and FAQs … If you fail to complete your CE requirement and pay the renewal fee by the license expiration date, your
  • Detail: https://home.pearsonvue.com/Publications/120705.aspx

14 New – Investment Adviser Representative Continuing Education

  • Author: michigan.gov
  • Published: 12/01/2021
  • Review: 2.49 (167 vote)
  • Summary: Yes. To re-register during the two-year exam window, the IAR would need to complete any missed CE. For instance, if the IAR leaves the 
  • Detail: https://www.michigan.gov/lara/bureau-list/cscl/securities/spotlight/iar

15 Continuing Education Including FINRA 6 & 63 – ABRC

  • Author: abrc.com
  • Published: 04/25/2022
  • Review: 2.48 (170 vote)
  • Summary: Our goal is to provide you maximum assistance to assure your success. In the very unlikely event that you fail your final exam, our staff will notify you 
  • Detail: https://www.abrc.com/index.php/continuing-education-including-finra-6-63

16 FINRA Makes Big Adjustments to CE Rules – ThinkAdvisor

  • Author: thinkadvisor.com
  • Published: 05/22/2022
  • Review: 2.33 (60 vote)
  • Summary: · What You Need to Know … The Financial Industry Regulatory Authority on Wednesday adopted changes to its continuing education (CE) and 
  • Detail: https://www.thinkadvisor.com/2021/11/17/finra-makes-big-adjustments-to-ce-rules/

17 FINRA Moves Forward with Annual Regulatory CE – Quest CE

  • Author: questce.com
  • Published: 07/08/2022
  • Review: 2.38 (87 vote)
  • Summary: · Consistent with current requirements, individuals who fail to complete their Regulatory Element within the prescribed period would be 
  • Detail: https://www.questce.com/finra-moves-forward-with-annual-regulatory-ce-2/

18 1240. Continuing Education | FINRA.org

  • Author: finra.org
  • Published: 03/17/2022
  • Review: 2.14 (96 vote)
  • Summary: Unless otherwise determined by FINRA, any covered persons who have not completed the Regulatory Element within the prescribed time frames will have their 
  • Detail: https://www.finra.org/rules-guidance/rulebooks/finra-rules/1240

19 Continuing Education – Regulatory Element vs. Firm Element

  • Author: web.foreside.com
  • Published: 02/05/2022
  • Review: 2.08 (94 vote)
  • Summary: · Firms are notified by email from FINRA as to when a representative’s Regulatory Element CE Window will open and close
  • Detail: https://web.foreside.com/blog/continuing-education-regulatory-element-vs-firm-element

20 FINRA Requirements to Maintain a Series 7 License – PocketSense

  • Author: pocketsense.com
  • Published: 03/26/2022
  • Review: 1.94 (193 vote)
  • Summary: Those who fail to meet the requirements for completing the Regulatory Element CE training within the duration required by law risk having their registration or 
  • Detail: https://pocketsense.com/finra-maintain-series-7-license-7388885.html

21 Registered representative rules | Rules & ethics | Achievable Series 6

  • Author: app.achievable.me
  • Published: 06/01/2022
  • Review: 1.95 (108 vote)
  • Summary: In order to keep your licenses active, you will be required to go through continuing education (CE) periodically to ensure you maintain proper knowledge of 
  • Detail: https://app.achievable.me/study/finra-series-6/learn/rules-and-ethics-registered-representative-rules

22 Big Changes to FINRA CE Requirements – Solomon Exam Prep

  • Author: solomonexamprep.com
  • Published: 05/10/2022
  • Review: 1.73 (147 vote)
  • Summary: · Currently, the FINRA CE program does not allow individuals to maintain terminated qualifications by completing CE
  • Detail: https://solomonexamprep.com/news/finra/big-changes-to-finra-ce-requirements/

23 Continuing Education FAQs – CFP Board

  • Author: cfp.net
  • Published: 01/11/2022
  • Review: 1.64 (127 vote)
  • Summary: 14. WHAT HAPPENS IF I DO NOT MEET THE CE REQUIREMENT BY THE END OF MY REPORTING PERIOD?
  • Detail: https://www.cfp.net/career-and-growth/continuing-education/faqs

24 Can you fail FINRA continuing education? – Ru-facts.com

  • Author: ru-facts.com
  • Published: 12/10/2021
  • Review: 1.6 (146 vote)
  • Summary: · Once you complete the CE session, you are considered CE Satisfied, indicating that you have met your CE requirement. Failure to complete the 
  • Detail: https://ru-facts.com/can-you-fail-finra-continuing-education/

25 IARs Have Two Years to Complete Continuing Education or Risk

  • Author: corecls.com
  • Published: 10/25/2021
  • Review: 1.39 (87 vote)
  • Summary: · IARs, within those CE-required states, who fail to meet the requirement will be cited as CE deficient and have until the end of 2023 to earn 
  • Detail: https://www.corecls.com/blog/iars-have-two-years-to-complete-continuing-education-or-risk-securities-license-termination/