FINRA requested comments on proposed enhancements to the continuing education requirements for securities industry professionals.
Based on recommendations submitted by the Securities Industry / Regulatory Council on Continuing Education, FINRA is considering proposed improvements, which would update the:
- Regulatory Element to (i) offer annual training that includes more relevant information, (ii) implement diverse instructional formats, (iii) make public the learning topics prior to the training and (iv) revise related management systems;
- Firm Element to take into consideration other training requirements, revise the guidance and resources used by firms and create a content catalog; and
- Continuing Education Program to allow individuals who terminated their registration to maintain their qualifications by completing the Continuing Education Program.
Comments on the proposal must be submitted by April 20, 2020.
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