A FINRA Information Notice dated August 14, 2025 reminded firms and registered persons of their annual continuing education obligations under Rule 1240. The 2025 Regulatory Element courses were due by December 31, 2025, accessed through the Financial Professional Gateway (FinPro), with non-completion resulting in an automatic "CE inactive" designation.
For the Firm Element, firms must develop annual written training plans that consider their size, business scope, and relevant regulatory developments; AML training and the annual compliance meeting may count toward Firm Element.
FINRA also updated its registration groupings to enhance relevancy and specificity, including moving certain limited sales representatives into a new "Limited Sales Representative" category, and added estimated course-completion times.
The current annual Regulatory Element framework derives from the CE modernization adopted via Regulatory Notice 21-41 (effective January 1, 2023), which also introduced the Maintaining Qualifications Program (MQP) for individuals who leave the industry.