How often must a representative complete the firm Element Continuing Education CE requirement?

every three years thereafter
As a registered representative you are required to complete the Regulatory Element CE Program two years from your base date and every three years thereafter for as long as you remain registered in the industry.

Is there continuing education for Series 7?

Regulatory Continuing Education All Series 7 license holders must complete a computer-based continuing education, or CE, program called the Regulatory Element within 120 days from the two year anniversary date of receiving their licenses.

What happens when an RR fails to complete the regulatory element of continuing education?

Unless otherwise determined by FINRA, any covered persons who have not completed the Regulatory Element within the prescribed time frames will have their registrations deemed inactive until such time as the requirements of the program have been satisfied.

How do I keep FINRA license active?

Keep your registered representative license by maintaining an affiliation with a broker dealer. The optimal way to do this is to affiliate with a firm that can hold both your investment advisory license and your broker dealer license.

How often do you have to renew Series 7?

two years
The Series 7 license is good for the entire period that you work for a FINRA-member firm or self-regulatory organization (SRO). It only expires if you are terminated or leave a firm and do not find employment within two years at another FINRA-member firm or SRO.

How long can I keep my Series 7 license active?

The Series 7 license is good for the entire period that you work for a FINRA-member firm or self-regulatory organization (SRO). It only expires if you are terminated or leave a firm and do not find employment within two years at another FINRA-member firm or SRO.

How long is the FINRA continuing education?

All participants are prescribed a 120-calendar-day period to complete their CE Online session. FINRA has eliminated the 3½-hour time limit, thereby allowing participants to progress at their own pace during your 120-calendar-day window.

How long can my Series 7 license be inactive?

Your Series 7 license is valid for two years after termination. Within those two years, if you do not find employment with a financial company that is a member of FINRA or is a SRO, your Series 7 license expires. Should you find employment within the two-year period, the new firm notifies FINRA on your behalf.

What happens if FINRA exam window expires?

If you miss your scheduled appointment, for any reason, the cost of the test will not be refunded or applied to another appointment. Additionally, if your enrollment expires, FINRA will require your firm to submit a new request, along with applicable fees.