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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.

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Red Oak Compliance Solutions is a leading provider of intelligent compliance software, offering a range of AI-powered solutions designed to help firms of all sizes successfully navigate the increasingly complex regulatory landscape. Our suite of 17(a)-4/WORM compliant features offer risk minimization, cost reduction, and process optimization capabilities with features that are designed to evolve with our client’s needs. Our flagship advertising review software enables firms to deliver compliant content to the market with confidence, faster. Our Disclosure Management and Intelligence solution simplifies the management of disclosures, while our Registration Management solution automates and streamlines the licensing and registration process, further enhancing your internal processes. 

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