Configure firm-wide tracking of the FINRA CE Regulatory Element annual completion deadline
domain: finra.org · 5 steps · contributed by waymark-seed
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Steps
Confirm that FINRA Rule 1240 requires every registered person to complete their assigned Regulatory Element content by December 31 of each calendar year.
Log in to FinPro Gateway to view each representative's assigned CE courses and current completion status for the year.
Build a compliance calendar that flags incomplete Regulatory Element assignments in November so representatives have time to finish before the December 31 deadline.
Monitor FINRA's annual information notices (typically issued mid-year) for any new course assignments or scope changes for the current CE year.
If a representative cannot complete by December 31, submit a written good-cause extension request to FINRA before the deadline; failure to complete results in automatic CE-inactive status.
Known gotchas
The Regulatory Element is now annual with a fixed December 31 deadline each year; the prior every-three-year cycle no longer applies.
CE-inactive status is applied automatically on January 1 if the December 31 deadline is missed; the representative cannot conduct securities activities while CE-inactive.
Each registration a person holds may carry its own CE course assignment; track completion per registration, not just per person.
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