Series 52: Continuing Education Requirements

Taken from our Series 52 Top Off Online Guide

Continuing Education Requirements

Registered personnel must participate in continuing education programs. These programs have two components: a regulatory element and a firm element.

The regulatory element requires all registered persons to complete a computer-based training session within 120 days of each person’s second registration anniversary and every three years thereafter. The content of the regulatory element is determined and provided by FINRA and is appropriate to the class of the registered representative or principal. If not completed within the prescribed period, that person’s registration will be suspended until it is completed. Note that retaking the regulatory element may also be imposed as a sanction in a disciplinary action or when an associated person is the subject of a statutory disqualification or has had a fine or suspension imposed.

A dealer can administer the regulatory element to its own associated persons as long as it implements an in-firm program that meets MSRB requirements. These requirements include:

+ Read More

More Series 52 Info

What are people saying?

Create an Account

Since you're reading about Series 52: Continuing Education Requirements, you might also be interested in:

Series 79 - 9.5.5. Three-Year Records

Series 65 - Equity-Indexed Annuities

Series 7 - 17.6.5.4. Best Execution and Interpositioning

Series 65 - Variable Annuity Regulations

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

No other test prep service has questions so similar to the actual exam! Pairing practice questions in the exam simulator with the explanations in the book was definitely helpful in passing the Series 52!

Abhishek Gosavi, MassMutual, Springfield, MA

Questions from the exam simulator were pretty similar to the actual series 52 exam, and I felt prepared with the study guide. I will be purchasing the series 53 study materials from Solomon in the near future.

Del Martin, Packerland Brokerage Services. Green Bay, WI

Solomon adequately prepared me to pass the 52 on my first try. Also, the one time I used the Ask the Professor tool, I received a response promptly. The pre-built study timelines were fantastic, and the ability to access via computer and the iPhone App was crucial. Many thanks to Solomon. I will use you guys again.

Jonathan Bowman Raymond James Ennice, NC

I failed the Series 52 twice and thought my troubles were with retention, but they were with the practice. I used a competitor's materials and it lacked depth and above all else it lacked a large test bank of questions. With Solomon, I went from feeling unable to fully assess all of the answers on the actual exam, to knowing why an answer was right AS WELL AS knowing why the other 3 answers were wrong. This is an underappreciated aspect of test taking that was only achieved through repetition of different questions. Solomon's large test bank was invaluable and the ability to take practice exams with only the questions you previously got wrong is a fantastic addition.

Justin Ratti, Investment Banking, Charlotte, NC

I actually initially failed the Series 52 and was left frustrated with the previous exam prep course that I previously took. I took a look at many of your testimonials and thought I would take a chance on Solomon. I was not disappointed. I passed the Series 52 on the second go, and the test was a breeze due to the preparation of your Series 52 exam prep. I couldn't be happier with Solomon. Onward and upward!

Akio Ohtake-Gordon, Piper Sandler & Co. Lakewood, CO.

Passed the 52 and 53 within two months thanks to the clarity of Solomon's materials. Great product!

Jonathan Bowman, Raymond James. Ennice, NC