FINRA Firm Element CE Training Made Simple

Stay compliant and strengthen your team with Firm Element CE programs that meet FINRA requirements and boost performance.

FIND COURSES NOW PARTNER WITH US

Simplify Compliance with Smarter Firm Element CE Solutions

Trusted, Up-to-Date Course Content

Courses are written and reviewed by top industry experts to reflect the latest regulatory changes—so you can train with confidence.

Flexible, Customizable Training Options

Choose from 20+ SCORM-wrapped courses or request custom content tailored to your firm’s needs, delivered fast and hassle-free.

Dedicated Support at Every Step

Our experienced team is here to help with setup, rollout, and ongoing support, ensuring a smooth CE experience from start to finish.

Tracking and Reporting Made Easy

Track progress and generate reports with just a few clicks. Export diagnostics to Excel, Word, or Access and simplify firm-wide compliance documentation.

Streamlined Annual Compliance Meetings

Use on-demand technology to deliver your Annual Compliance Meeting without a live facilitator. We help you customize content to reflect your firm’s priorities. View Catalog

Investment Adviser Representative Continuing Education Course Catalog

View Our Full FINRA Firm Element CE Catalog

Explore a catalog of 100+ FINRA-approved courses covering key compliance topics like ethics, AML, cybersecurity, and more.
VIEW COURSE CATALOG

Knowing Your IAR CE Requirements

Understanding your continuing education requirements can leave you feeling a bit lost and confused. Here's what you need to know about meeting your IAR CE requirements:

Do I need to take IAR CE?

Registered IARs must complete CE requirements in states that have adopted the model rule, regardless of their registration location.

What is required?

12 total hours are required. This includes 6 hours of Ethics & Professional Responsibility and 6 hours in Products & Practice.

When is completion due?

Continuing education must be completed annually. Failure to do so will result in a "CE Inactive" status, preventing registration renewal.

NASAA Model State Adoptions

View state-by-state to see where the IAR CE Model Rule is in effect.

Shop IAR CE Packages & Individual Courses

SHOP NOW

All-Access Firm Element CE for Corporations

Get unlimited access to a growing library of 100+ FINRA-compliant courses, continuously updated to meet evolving regulatory standards and client needs.

  • Full team tracking and reporting
  • 24/7 access for employees
  • Scalable packages for firms of any size
  • Single- and multi-year options available

Interested in Partnering with STC?

Talk with our team and learn more about:

  • Access one of the most comprehensive libraries of Firm Element CE courses
  • Meet annual FINRA Firm Element requirements with ease
  • Support your team throughout the employee lifecycle with industry-leading training solutions

Firm Element CE – FAQ

For Firms

What is Firm Element CE?

Firm Element CE is an annual, ongoing training requirement mandated by FINRA. It’s designed to ensure registered representatives receive training that’s tailored to their specific role, firm products, and regulatory developments.

Who is required to complete Firm Element training?

All registered personnel involved in sales, trading, investment banking, operations, or supervision are typically required to complete Firm Element CE.

How do firms determine what training is needed?

Firms must conduct an annual Needs Analysis and develop a Training Plan based on factors like business activities, regulatory changes, and internal policies.

How can a training partner help with Firm Element CE?

A CE partner can provide curated training libraries, help you stay compliant with updated regulations, offer role-based course assignments, and track completions for audit purposes.

Is this separate from Regulatory Element CE?

Yes. While the Regulatory Element is now completed annually through FINRA’s CE Online Program, Firm Element CE remains a firm-driven requirement with no set content mandated by FINRA.

For Students / Registered Professionals

Do I have to take Firm Element CE every year?

Yes. If your firm includes you in its Firm Element program, you’ll need to complete assigned training each year as part of your ongoing professional requirements.

What topics will my Firm Element training cover?

Your training is based on your role, the products you work with, and recent regulatory updates. It might include topics like ethics, product training, anti-money laundering (AML), cybersecurity, or compliance.

Where do I take my Firm Element CE courses?

A CE partner can provide curated training libraries, help you stay compliant with updated regulations, offer role-based course assignments, and track completions for audit purposes.

Will I receive a certificate after completing my courses?

Yes, most platforms provide a completion certificate. Be sure to confirm your firm’s process for tracking and verifying completion.

 Is Firm Element CE required if I’ve already completed Regulatory Element?

Yes. They are two separate requirements—both must be completed annually if applicable to your role.