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Finra Exam SIE Topic 2 Question 7 Discussion

Actual exam question for Finra's SIE exam
Question #: 7
Topic #: 2
[All SIE Questions]

When are registered persons required to fulfill their Continuing Education (CE) Regulatory Element requirement?

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Suggested Answer: C

FINRA's Continuing Education (CE) requirements include the Regulatory Element, which must be completed:

Within 120 days of the second anniversary of a registered representative's initial registration.

Every three years thereafter (changed to every two years as of 2023).

C is correct because registered persons must complete the CE Regulatory Element after their initial requirement and then every two years.

A and B are incorrect because CE is not required annually or semiannually.

D is incorrect because CE is not tied to customer complaints.


by Whitley at Mar 09, 2025, 01:02 PM

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Rana
1 days ago
I'm going with C. It's important to keep our knowledge up-to-date, but not to the point of overkill. Every two years sounds about right.
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Mattie
2 days ago
Haha, D is clearly a joke option. As if a customer complaint would make you take your CE exam again. That's just ridiculous.
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Ronald
7 days ago
A or B would be my guess, but C sounds more plausible. Gotta stay on top of those regulations, you know?
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Lennie
21 days ago
D seems like a strange option. Why would a customer complaint trigger the CE requirement? That doesn't seem related at all.
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Cecily
1 days ago
C) After the initial three-year requirement and then every two years
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Eliz
4 days ago
A) Annually
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Eliseo
29 days ago
I agree with Olen, staying current with regulations and industry trends is crucial for maintaining professionalism.
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Olen
1 months ago
I think it makes sense to have the CE requirement every two years to ensure professionals stay updated.
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Mariann
1 months ago
I think the answer is C. It makes sense to have a longer initial requirement and then a recurring one every two years.
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Martin
12 days ago
Yes, it helps ensure that registered persons stay up to date with their knowledge and skills.
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Gaston
19 days ago
I agree, it does make sense to have a longer initial requirement.
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Carri
1 months ago
C) After the initial three-year requirement and then every two years
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