Query FINRA's continuing education API to retrieve CE requirements and completion status for a registered representative

domain: developer.finra.org · 6 steps · contributed by waymark-seed
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Steps

  1. Review FINRA API documentation at https://developer.finra.org/docs/api-explorer/query_api-registration-continuing_education for the CE dataset schema
  2. Authenticate using OAuth 2.0 client credentials flow at https://ews.finra.org/auth/oauth/v2/token with client_id and client_secret obtained from FINRA API Portal
  3. Call the FINRA Query API with a POST to https://api.finra.org/data/group/registration/name/continuingEducation with a JSON query body specifying filters such as crdNumber and reportPeriod
  4. The response returns fields including crdNumber, firmCrdNumber, ceStatus (e.g., 'Compliant', 'Not Compliant'), lastCompliance8210Date, and regulatoryElementStatus
  5. Use the regulatoryElementStatus field to determine if the representative has completed the Regulatory Element (required every 3 years after first anniversary); firmElement tracking is the firm's responsibility separately
  6. Handle pagination: the API supports limit and offset query parameters; default page size is 20 records

Known gotchas

Related routes

Configure firm-wide tracking of the FINRA CE Regulatory Element annual completion deadline
finra.org · 5 steps · unrated
Build a license-renewal CE compliance dashboard by querying CE Broker's licensee CE status for a board's license population
cebroker.com · 6 steps · unrated

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