Series 27: Continuing Education

Taken from our Series 27 Online Guide

Continuing Education

All registered persons must participate in an annual continuing education (CE) program. This program has two elements: a regulatory element and a firm element. If the CE is not completed annually, the person’s registration will become inactive, and they will not be able to perform any of the activities that require registration or be compensated for any of those activities until they complete the overdue CE.

The content of the regulatory element is determined by FINRA and is appropriate to the class of registered representative or principal. An individual is responsible for completing the content requirements for each registration category they hold.

The firm element is prepared by the firm for its associated persons. FINRA requires member firms to prepare an annual

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Last August 2020 I passed the Series 28 on the first try using your materials. I just wanted to drop in and let you know I passed the Series 27 exam today!! I am so happy today as I took the test in Jan of this year and missed it by 3 points. I switched up my focus and really zoned in the most heavily weighted chapters. This is by far the hardest exam I have taken. Thank you Solomon for your excellent study materials. I'll be back when I pass the next one ;)

Nikita Brown, BMI. Atlanta, GA

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