FINRA updated the content for the annual Regulatory Element of the continuing education program under Rule 1240, reflecting current regulatory developments.
The updated content covers Regulation Best Interest obligations, anti-money laundering developments, cybersecurity awareness, and off-channel communications compliance.
Under the current CE framework, registered representatives must complete the Regulatory Element annually, replacing the previous three-year cycle that ended in 2023.
Firms should ensure all registered persons are aware of the updated content requirements and complete their Regulatory Element obligations within the annual compliance window.