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Submitted URL: https://app.response.advisorgroup.com/e/er?utm_campaign=20230703_CE-Reminder_provided&utm_medium=email&utm_source=eloqua&utm_content=2...
Effective URL: https://www.finra.org/registration-exams-ce/finpro/ce
Submission: On July 06 via manual from US — Scanned from DE
Effective URL: https://www.finra.org/registration-exams-ce/finpro/ce
Submission: On July 06 via manual from US — Scanned from DE
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1 forms found in the DOMPOST /registration-exams-ce/finpro/ce
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Skip to main content Close Search FINRA UTILITY MENU * About FINRA * Careers * BrokerCheck * Data * Media Center * For Firms * Contact Us Log In FinPro For Industry Professionals Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks. LOG IN FINRA Gateway For Member Firms Firm compliance professionals can access filings and requests, run reports and submit support tickets. LOG IN DR Portal For Case Participants Arbitration and mediation case participants and FINRA neutrals can view case information and submit documents through this Dispute Resolution Portal. LOG IN Need Help? | Check Systems Status Log In to other FINRA systems * Rules & Guidance * 1. R&G section 1 1. FINRA Manual 1. Updates 2. Interpreting the Rules 1. Notices 2. Guidance 3. Frequently Asked Questions 4. Key Topics 5. Interpretive Questions 2. R&G section 2 1. The Rulemaking Process 1. Rule Filings 2. Rule Filing Status Report 3. Requests for Comments 4. Rulebook Consolidation 2. Adjudication & Decisions 1. National Adjudicatory Council (NAC) 2. Office of Hearing Officers (OHO) 3. R&G section 3 1. Enforcement 1. Disciplinary Actions Online 2. Monthly Disciplinary Actions 3. Sanction Guidelines 4. Individuals Barred by FINRA * Registration, Exams & CE * 1. Registration section 1 1. Registration 1. Broker Dealers 2. Capital Acquisition Brokers 3. Funding Portals 4. Individuals 2. Registration section 2 1. Qualification Exams 1. Securities Industry Essentials Exam (SIE) 2. Series 7 3. All 2. Continuing Education (CE) 3. Registration section 3 1. Registration Systems 1. Classic CRD 2. Financial Professional Gateway (FinPro) 3. Financial Industry Networking Directory (FIND) * Events & Training * 1. Conferences & Events 2. FINRA Institute at Georgetown 3. E-Learning Courses 4. Small Firm Conference Call 5. Webinars * Filing & Reporting * 1. FINRA Gateway 2. Systems Status 3. Entitlement Program 4. Market Transparency Reporting Tools 5. Regulatory Filing Systems 6. Data Transfer Tools 7. E-Bill * Compliance Tools * 1. Cybersecurity Checklist 2. Compliance Calendar 3. Weekly Update Email Archive 4. Peer-2-Peer Compliance Library 5. Compliance Vendor Directory * For Investors * 1. For Investors section 1 1. Investor Insights 2. Tools & Calculators 3. Personal Finance 1. Net Worth 2. Spending 3. Debt 4. Credit Scores 5. Emergency Funds 2. For Investors section 2 1. Investing 1. Investing Basics 2. Investment Products 3. Investment Accounts 4. Working With an Investment Professional 2. Protect Your Money 1. Investor Alerts 2. Ask and Check 3. Avoid Fraud 4. Protect Your Identity 3. For Investors section 3 1. For the Military 2. Need Help? 1. File a Complaint 2. FINRA Securities Helpline for Seniors 3. Dispute Resolution 4. Avenues for Recovery of Losses 1. Registration, Exams and CE 2. Financial Professional Gateway (FinPro) EXPLORE THIS SECTION FINRA MAIN NAVIGATION REGISTRATION, EXAMS & CE * Registration * Broker Dealers * Capital Acquisition Brokers * Funding Portals * Individuals * Qualification Exams * Securities Industry Essentials Exam (SIE) * Series 7 * All * Continuing Education (CE) * Registration Systems * Classic CRD * Financial Professional Gateway (FinPro) * Financial Industry Networking Directory (FIND) CE IN FINPRO TRANSFORMING THE SECURITIES INDUSTRY CE PROGRAM FINRA has adopted important changes to its continuing education (CE) and registration rules to train registered persons more effectively while accommodating registered persons whose personal circumstances take them away from the industry for a time. LEARN MORE ABOUT CHANGES TO THE SECURITIES INDUSTRY CE PROGRAM Did you know? Regulatory Element CE can be applied to satisfy up to six hours of IAR (Investment Adviser Representative) CE. Firms can manage this process in Firm Settings, or dually-registered individuals can make the request in FinPro. Registered individuals access Regulatory Element Continuing Education (CE) via FinPro. Learn more about accessing and completing CE below. -------------------------------------------------------------------------------- ACCESSING FINPRO FinPro users must create account credentials (user id, password and security challenge questions) as well as verify their identity with Transunion to access the system. (Tip: See the FinPro Account Creation Guide for guidance if you have not yet created a FinPro account.) FinPro cannot be accessed with Internet Explorer. Use a supported browser to log in. FIRST-TIME FINPRO USERS Before creating an account: Have you self-enrolled in an exam or used one of these FINRA systems? If so, you can use the same system credentials to log in to FinPro. Can’t remember your user id or password? Recover them via email. Create An Account RETURNING FINPRO USERS If you have logged in to FinPro before, sign in or quickly retrieve your credentials through the buttons below. Note: You may need to create a new FinPro account if more than three years have passed since your last login. FinPro credentials are automatically deleted after 36 months of inactivity. Log In To FinPro Forgot User ID or Password Once logged in, FinPro users with a “CE Required” status will have a Launch CE link in the Reminders section of the page. Clicking View and Take Outstanding CE will take the user to the Current Annual Regulatory Element CE section, which contains a list of outstanding CE coursework. When the user clicks on Launch CE, the CE Program content will open in a separate browser window. The user can start a module by clicking Launch next to the title. Once the module has been launched, the user will see a window that looks similar to the image below. The user should use the Start Course button on the middle of the screen to proceed through the module. Once the user has successfully completed all modules, they will see the window below. They will be asked to complete a quick survey if they select Yes. The main CE platform screen will update as the user progresses through their CE session. Each module will show a Successful status when completed. After the user completes the entire session, buttons will appear to Print Certificate and Export Certificate. The user can now close the browser tab with the CE Program and return to FinPro. Within FinPro, under the Continuing Ed section, the user will now see the CE Status is set to Complete. Selecting View Transcript will open a new screen containing detailed information about their coursework. Users can view as well as print this transcript. Subscribe to Updates JOIN FINPRO RELATED LINKS Continuing Education FinPro Account Creation Guide A Guide to Your Securities Industry Career 6/25/20 Information Notice CONTACT US (240) 386-4040 8 a.m. to 8 p.m. Eastern Time Monday through Friday FINRA MAIN NAVIGATION * Rules & Guidance * Registration, Exams & CE * Events & Training * Filing & Reporting * Compliance Tools * For Investors FINRA UTILITY MENU * About FINRA * Careers * BrokerCheck * Data * Media Center * For Firms * Contact Us ARBITRATION & MEDIATION FINRA operates the largest securities dispute resolution forum in the United States Learn More General Inquiries 301-590-6500 Securities Helpline for Seniors® 844-574-3577 (Mon-Fri 9am-5pm ET) File a Regulatory Tip To report on abuse or fraud in the industry File an Investor Complaint File a complaint about fraud or unfair practices. 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