CE Web

April 17, 2021

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During this free, 20-minute webinar, FINRA senior staff discuss two initiatives in the Testing and Continuing Education area. Opening the discussion is FINRA's move toward delivering Regulatory Element CE programs to the Web. The panel explains the reasoning behind the transition and highlights key benefits. The panel also discusses FINRA's proposal to restructure the representative-level qualifications exam programs by introducing a Securities Industry Essentials exam that would be augmented by specialized exams specific to the representative's role.


  • Chip Jones, Senior Vice President, Member Relations and Education, FINRA (moderator)
  • John Kalohn, Vice President, Testing & Continuing Education, FINRA
  • Joe McDonald, Senior Director, Qualifications & Exams, FINRA
  • Roni Meikle, Senior Director, Continuing Education, FINRA

For technical questions call (800) 321-6273.

FINRA's webinars are the sole property of FINRA and the information provided is for informational and educational purposes only. The content of the webinars does not constitute any FINRA rule or amendment or interpretation to such rules. Compliance with any recommended conduct presented does not mean that a firm or person has complied with the full extent of their obligations under FINRA rules, the rules of any other SRO, or securities laws. Use of this webinar does not create a safe harbor from regulatory responsibility. This webinar is provided "as is". FINRA and its affiliates are not responsible for any human or mechanical errors or omissions. Parties may not reproduce the webinars in any form, nor reference them in any publication, without the express written consent of FINRA.

Source: www.finra.org
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