2023 Firm Element Continuing Education Survey

Since 2018, the Securities Industry/Regulatory Council on Continuing Education (CE Council) has been working extensively with FINRA, other self-regulatory organizations (SROs) and stakeholders to enhance the Securities Industry Continuing Education (CE) Program. In Regulatory Notice 21-41 FINRA announced the adoption of important changes to its CE and registration rules that were designed to ensure that all registered persons receive timely and relevant training, which will in turn support compliance and investor protection.

To that end, the Firm Element Committee of the CE Council developed a survey to gather anonymous feedback from Compliance CE administrators about the impact of the amended FINRA rules. The objective of the survey is to enable the CE Council to further enhance their guidance reference materials to the needs of member firms and provide them benchmarks that may be used to better evaluate their individual CE programs.