ESI has instituted one deadline for all assigned CE requirements: October 30th. You are personally responsible for completing your Continuing Education.
Continuing education for registered professionals is comprised of multiple elements:
– Regulatory Element CE (“RE”) – designed and administered by FINRA through the FinPro platform. These courses are currently available through FinPro.
– Firm Element CE (“FE”) – designed and administered by the Firm. ESI uses RegEd. These courses will be available July 1st.
– Annual Compliance Meeting (“ACM”) – designed and administered by the Firm; also, via RegEd. This meeting will be available July 1st.
– Investment Adviser Representative CE (“IARCE”) – required by certain states. Courses are available through RegEd, but IARs have the option of using any vendor they choose.
You can view complete details in our May 2024 Field Notice here.
TC6987382(0924)1