FINRA Qualification Examination Program Restructure, Registration Rules and CE Online

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About This Course

This CLE program provides guidance on recent regulatory developments and compliance practices, as it pertains to the restructuring of the representative level qualification examination program, finalization of the registration rules and an update on CE Online as well as future directions for the CE Regulatory Element programs. Panelists offer practical answers to questions about these program changes.

After attending this session, you will be able to:

  • Understand the current status of CE Online and the timelines for phasing out test center delivery for the CE Regulatory Element
  • Describe FINRA’s considerations for the future evolution of the CE Regulatory Element programs
  • Discuss the important points of FINRA’s proposed restructuring of the representative level qualification examination program
  • Compare and contrast key changes to the registration rule filing
  • Summarize the timelines for the changes to the Qualification Examination Program and Registrations Rules

FINRA® is a registered trademark of the Financial Industry Regulatory Authority, Inc.

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