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FINRA Offering Continuing Education Courses to CFP Professionals

Sunday, June 4, 2017

As of June 1st, nearly 60 of FINRA’s e-learning courses will be eligible for CE credits for CFP professionals, who must complete a minimum of 30 CE hours every two years as part of the requirements for CFP certification renewal. FINRA administers CE courses through two programs – the Firm Element and the Regulatory Element. The courses available for CFP professionals will be offered through the Firm Element program, which requires broker-dealers to establish a formal training program to keep covered registered persons up to date on job- and product-related subjects. The Regulatory Element program focuses on compliance, regulatory, ethical and sales-practice standards.

FINRA’s courses, which were subjected to a rigorous evaluation and review by the CFP Board’s Council on Education, will enable CFP professionals who are also registered representatives with FINRA to receive CE credits in anti-money laundering, communications with the public, cybersecurity, senior investor issues, insider trading and more. Courses can be found at www.finra.org/elearning.

About Red Oak Compliance Solutions

Red Oak Compliance Solutions is the global advertising review software of choice in the financial services industry. It is a comprehensive suite of SEC 17A-4 compliant features that are 100% books and records compliant and provides clients with 35% faster approvals and 70% fewer touches or better. We also offer Smart Review(SM), which solves for the storage and maintenance of disclosures, helping firms reduce risk, decrease review times, and increase the speed of distribution of marketing materials. Smart Registration(SM) automates the licensing and registration management process to help reduce regulatory risk and time spent on manual processes. Overall, Red Oak allows firms to minimize risk, reduce costs, and increase compliance review process effectiveness and efficiencies.