Can I earn CE credits towards my Series 7, Series 63, or other securities license renewal?
No, you cannot. The NASD, in conjunction with other self-regulatory organizations and the Securities Industry/Regulatory Council on Continuing Education, administers a two-part mandatory Continuing Education Program. The program consists of a Regulatory Element and a Firm Element. The Regulatory Element requires all registered persons to take computer-based training in industry rules and regulations, on the second anniversary of their initial securities registration and every three years thereafter. The Firm Element requires broker/dealers to keep their “covered persons”—employees who deal with customers, and their supervisors—up to date on job- and product-related subjects by way of an annual firm-developed and administered training program.
