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FINRA Requests Comment on Enhancements to CE Program




FINRA is proposing to make regulatory continuing education an annual requirement which allows previously registered individuals the ability to remain in the industry through CE. This change would allow reps whose registration has been terminated because they’re no longer working in the industry, or associated with a broker-dealer firm, to maintain their qualification through annual continuing education. The change is meant to align brokers with other professionals, such as attorneys and accountants, who can stay in their fields during an absence by completing continuing ed courses