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CE Transformation Update: Annual Regulatory Element and the Latest on the MQP

CE Transformation Update: Annual Regulatory Element and the Latest on the MQP

FromFINRA Unscripted


CE Transformation Update: Annual Regulatory Element and the Latest on the MQP

FromFINRA Unscripted

ratings:
Length:
19 minutes
Released:
Oct 4, 2022
Format:
Podcast episode

Description

The implementation of the largest change to the securities industry Continuing Education program in 25 years is well under way, with a few new deadlines right around the corner. On this episode, we hear from Patricia Monterosso and Nicole Lefort from FINRA’s Credentialing, Registration, Education and Disclosure team about how the Maintaining Qualifications Program is progressing and what firms can expect in with regard to changes to the Continuing Education Regulatory Element in the months ahead. Resources mentioned in this episode:Regulatory Element TopicsCE Council WebsiteFINRA CE Transformation Resource PageMaintaining Qualifications ProgramFinancial Professional Gateway (FinPro)Episode 97: What to Expect: The CE Transformation & Maintaining Qualifications Program
Released:
Oct 4, 2022
Format:
Podcast episode

Titles in the series (100)

FINRA Unscripted is the voice of the nation’s largest non-government securities regulator. We bring together FINRA leaders to discuss existing and emerging regulatory topics that impact the broker-dealer industry. We share best practices for compliance officers, insights into the operations of a 3,500 person self-regulated organization and educational tools and information for investors. Every investor in America relies on one thing: fair financial markets. That is what FINRA works every day to ensure.