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Submission: On August 04 via api from US — Scanned from DE
Submission: On August 04 via api from US — Scanned from DE
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FINRA UTILITY MENU
* About FINRA
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FinPro
For Industry Professionals
Registered representatives can fulfill Continuing Education requirements, view
their industry CRD record and perform other compliance tasks.
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Firm compliance professionals can access filings and requests, run reports and
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information and submit documents through this Dispute Resolution Portal.
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* 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
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1. Registration, Exams and CE
2. Financial Professional Gateway (FinPro)
EXPLORE THIS SECTION
FINRA MAIN NAVIGATION
REGISTRATION, EXAMS & CE
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Registration Systems
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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.
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RELATED LINKS
Continuing Education
FinPro Account Creation Guide
A Guide to Your Securities Industry Career
6/25/20 Information Notice
CONTACT US
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ARBITRATION & MEDIATION
FINRA operates the largest securities dispute resolution forum in the United
States
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File a complaint about fraud or unfair practices.
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Report a concern about FINRA at 888-700-0028
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