1.2.5.6. Continuing Education
Registered personnel must participate in a continuing education (CE) program. This program has two elements: a regulatory element and a firm element.
Currently, the regulatory element requires that all registered persons 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 by FINRA and is appropriate to the class of registered representative or principal. An individual is responsible for completing the content requirements for each registration category they hold. If not completed within the prescribed pe