SEC Approves Web-Based Delivery Method for Completion of Regulatory Element of CE Requirements

The SEC approved the amendments to FINRA rules that provide a Web-based delivery method for completing the Regulatory Element of the Continuing Education ("CE") requirements.

The new Web-based delivery method, which will be called "CE Online" and administered through FINRA's CE Online System, will provide a registered person with the flexibility to complete the Regulatory Element at a location of their choosing at any time during the person's 120-day window for completion of the Regulatory Element.

The amendments will become effective on October 1, 2015.

See: FINRA Regulatory Notice 15-28.Related news: FINRA Proposes Web-Based Delivery Method for Completing Regulatory Element of Continuing Education Requirements (Fed. Reg.) (June 17, 2015); SIFMA Supports Proposal to Provide Web-Based Delivery of Regulatory Element for Continuing Education Requirement (July 15, 2015).