Yes. According to the Securities Industry/Regulatory Council on Continuing Education (CEC), there are two parts to the CE requirement: the regulatory element and the firm element. The firm element (determined by the firm you work for) varies, as it is designed by the firm itself. It usually consists of an annual training program, tailored specifically to the employee and the skills and knowledge required for his or her job. These programs are created in accordance with minimum criteria and standards. Click here for more information regarding the firm element. For more specific information, contact your firm's registration department.

The regulatory element is overseen by the CEC. Professionals are required to take computer-based training modules once they have been registered for two years. This training must be completed within a 120-day period. The professional will then have to complete the regulatory element once every three years. Note that the registration anniversary date is not the day you passed the Series 7 examination: it is the date you became registered with a self-regulatory organization (SRO). For more on the regulatory element, click here.

  1. Is a financial advisor required to have a degree?

    Financial advisors are not required to have university degrees. However, they are required to pass certain exams administered ... Read Full Answer >>
  2. Can I use my IRA to pay for my college loans?

    If you are older than 59.5 and have been contributing to your IRA for more than five years, you may withdraw funds to pay ... Read Full Answer >>
  3. Can I use my 401(k) to pay for my college loans?

    If you are over 59.5, or separate from your plan-sponsoring employer after age 55, you are free to use your 401(k) to pay ... Read Full Answer >>
  4. If I have only a limited amount of time to study for the Series 6, what should I ...

    The Series 6 Investment Company and Variable Contracts Products Representative Qualification Examination is administered ... Read Full Answer >>
  5. What role does the 'chip cycle' play in the electronics sector?

    There are several highly acclaimed private Series 6 Exam courses in the United States. Many can be completed online. Popular ... Read Full Answer >>
  6. What does passing the Series 6 enable me to do?

    The Series 6, or the Investment Company Products/Variable Contracts Limited Representative, exam is administered by the Financial ... Read Full Answer >>
Related Articles
  1. Markets

    How Does Flatiron School Work and Make Money?

    Examine the Flatiron School as it pertains to the product it offers; learn how it monetizes its product and the role the school plays as an industry disruptor.
  2. Personal Finance

    Insider's Guide To The Top U.S. Business Schools

    The best business school for you depends on your skills, career goals and interests. We help future MBA's make a more informed choice.
  3. Professionals

    Career Advice: Financial Analyst Vs. Investment Banker

    Read an in-depth comparison about working as a Financial Analyst vs. working as an Investment Banker, two highly prestigious business careers.
  4. Professionals

    Who Needs to Take the Series 65?

    Most states require individuals to pass the Series 65 exam in order to act as investment advisors.
  5. Personal Finance

    Does It Make Sense to Go to College in Europe?

    If you're deciding whether to get a degree abroad, first do your research and talk to alumni who have completed the same program.
  6. Credit & Loans

    Four Ways to Improve Education In America

    U.S. students place 27th in math and 20th in science out of 34 countries. The United States must reform its education system or harm future economic productivity and global trade competitiveness.
  7. Personal Finance

    8 Profitable Majors For The College-Bound In 2015

    Choose your college major wisely to justify the rising cost of higher education. Here are 8 majors that lead to good jobs and high salaries.
  8. Investing Basics

    Brokers and RIAs: One and the Same?

    Brokers and registered investment advisors have some key differences. Here's what you need to know.
  9. Personal Finance

    8 Reasons Why Valued Employees Quit

    Salaries are important, but retaining top employees requires more than just providing competitive pay.
  10. Professionals

    How Advisors Can Minimize Their Own Risks

    Risk management is important in any enterprise. But when it comes to the financial advisory business, the stakes are higher.
  1. Series 6

    A securities license entitling the holder to register as a limited ...
  2. Advanced Diploma In Insurance

    A qualification earned by insurance professionals and conferred ...
  3. Associate In Personal Insurance (API)

    A designation earned by professionals looking for training in ...
  4. Associate In Reinsurance (ARe)

    A designation earned by insurance professionals looking for reinsurance ...
  5. Associate In Surplus Lines Insurance (ASLI)

    A designation earned by insurance professionals involved with ...
  6. Credit Business Fellow - CBF

    A designation for achievers who have proven knowledge in intermediate ...

You May Also Like

Financial Professionals
  1. Professionals

    Illiquid Real Estate: Correlation Pros and Cons

  2. Professionals

    How to Manage Fixed Income as Interest Rates Rise

  3. Professionals

    Want to Start Up an RIA? Expect These Hurdles

  4. Investing Basics

    Are ETFs the Best Way to Diversify with Bonds?

  5. Investing Basics

    How to Use Boring CDs to Diversify

Trading Center
You are using adblocking software

Want access to all of Investopedia? Add us to your “whitelist”
so you'll never miss a feature!