FINRA Offers Continuing Education Courses to CFP Professionals

Nearly 60 E-Learning Classes Now Eligible for CE Credits Following CFP^® Board Review

WASHINGTON — The Financial Industry Regulatory Authority (FINRA), in conjunction with the Certified Financial Planner Board of Standards, Inc. (CFP Board), announced today that the CFP Board has authorized continuing education credits (CE) for FINRA e-learning courses offered to all CERTIFIED FINANCIAL PLANNER^TM professionals, including those who are registered representatives with FINRA member firms.

Effective immediately, 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 offers e-learning courses that firms may use in satisfying the annual Firm Element requirement, which requires broker-dealers to conduct a needs analysis and establish a formal training program to keep covered registered persons up to date on job- and product-related subjects.

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.

“Recognizing the large number of registered representatives who are also CFP professionals, we have worked with the CFP Board to expand our e-learning program,” said FINRA President and CEO Robert Cook. “This program reflects FINRA’s efforts to continuously improve the training, compliance tools and other services offered to our registered representatives and firms.”

“The CFP Board and FINRA have a long history of working together to protect investors and ensure compliance,” said Kevin Keller, CFP Board’s Chief Executive Officer. “We are pleased to now have FINRA working with us on this initiative, offering top-notch CE courses that are timely and informative.”

The expanded CE program is just one example of how FINRA is looking for opportunities to enhance services and provide additional resources to key stakeholders. The effort is part of FINRA360, an organizational self-evaluation and improvement initiative aimed at ensuring that FINRA is operating as the most effective self-regulatory organization (SRO) it can be.

About FINRA

FINRA is dedicated to investor protection and market integrity. It regulates one critical part of the securities industry – brokerage firms doing business with the public in the United States. FINRA, overseen by the SEC, writes rules, examines for and enforces compliance with FINRA rules and federal securities laws, registers broker-dealer personnel and offers them education and training, and informs the investing public. In addition, FINRA provides surveillance and other regulatory services for equities and options markets, as well as trade reporting and other industry utilities. FINRA also administers a dispute resolution forum for investors and brokerage firms and their registered employees. For more information, visit www.finra.org.

About CFP Board

The mission of the Certified Financial Planner Board of Standards, Inc. is to benefit the public by granting the CFP^® certification and upholding it as the recognized standard of excellence for personal financial planning. The Board of Directors, in further CFP Board’s mission, acts on behalf of the public, CFP^® professionals and other stakeholders. CFB Board owns the certification marks CFP^®, CERTIFIED FINANCIAL PLANNER^TM, and the federally registered CFP (with flame design) in the U.S. which it awards to individuals who successfully complete CFP Board’s initial and ongoing certification requirements. CFP Board currently authorizes more than 76,000 individuals to use these marks in the U.S. For more about the CFP Board, visit www.CFP.net.