Continuing Education: What You Need to Know
As we approach Q4, now is a good time to confirm that your 2026 continuing education requirements have been completed.
Taking care of CE now can help ensure a smooth finish to the year and reduce the risk of unexpected compliance complications.
The Integrated Solutions Perspective on CE
Not all continuing education is created equal. For example, Continuing Professional Education (CPE) requirements applicable to CPAs are focused on technical competency, ethics, and professional development. In contrast, the regulatory element modules that FINRA designates for registered persons are based on the specific licenses held by each individual and often span a broad range of regulatory and industry topics with limited relevance to that person's specific role or responsibilities.
It's a distinction worth considering as firms and regulators continue to balance compliance obligations with meaningful professional growth. There is no point, for example, for a registered professional to be inundated with equity sales-related questions when that person performs bond transactions.
We will continue to advocate for practical, common-sense regulation that balances investor protection with training that is relevant, valuable, and applicable to you, today's financial professionals.
If you have any questions about your CE obligations or would like assistance navigating regulatory requirements, please don't hesitate to reach out.
