Regulatory Element

The content is presented through interactive e-learning courses that are accessible online, including via smartphones and other mobile devices. Regulatory Element training is presented in a variety of instructional formats.

Firms can access dynamic reports in FINRA Gateway to assist with tracking the CE status of registered individuals. This report shows which individuals have begun and completed CE.

Participants become CE inactive after December 31 if their Regulatory Element requirement has not been satisfied. Even if your CE session is in progress and the December 31 deadline has passed, an individual will become CE inactive and will be required to restart the CE session from the beginning. They will remain CE inactive until they complete their CE session. They are not permitted to act in a registered capacity or receive compensation for activities that require registration.

Registrations of individuals who remain CE inactive for two years will be administratively terminated, and they will need to requalify.

The fee for annual Regulatory Element CE sessions is $18, which will be charged to the firm’s account upon completion of the program by participants. This fee is standard for all registered individuals, regardless of the number of registrations held.

Yes, the Regulatory Element can count towards the Products and Practice component of the IAR CE Requirement. For additional information on IAR CE please visit NASAA’s website.