Series 27: Continuing Education

Continuing Education

All registered persons must participate in an annual continuing education (CE) program. This program has two elements: a regulatory element and a firm element. If the CE is not completed annually, the person’s registration will become inactive, and they will not be able to perform any of the activities that require registration or be compensated for any of those activities until they complete the overdue CE.

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.

The firm element is prepared by the firm for its associated persons. FINRA requires member firms to prepare an annual