Essential Registration Information
To ensure that your Continuing Education (CE) credits are accurately recorded and recognized by FINRA, it is crucial to provide the correct registration information. During the registration process for any CE course, participants must include their first name, last name, and personal Central Registration Depository (CRD) number—not the CRD number of their firm. This information must match exactly with your FINRA registration records. Any discrepancies between the information provided during course registration and the details on your FINRA registration can result in the non-acceptance of your CE credits by FINRA.
Central Registration Depository (CRD) records can be verified using the Investment Adviser Public Disclosure website at https://adviserinfo.sec.gov/ or using FINRA's BrokerCheck website at https://brokercheck.finra.org/
Accuracy in Registration Details
It is important that all participants verify their information to reflect their official records with FINRA. This exact match is critical because it directly affects the validation process of your CE credits. Any mismatched records, whether it's a misspelling in the name or an incorrect CRD number, will lead to complications in credit recognition, potentially impacting your compliance with regulatory requirements.
Course Completion Requirements
To comply with CE requirements, participants must complete courses personally under their own profiles. Each participant's profile must be secured with a personal login and password. This individualized access ensures that the course completion is verifiable and correctly attributed to you per regulatory standards. Sharing login information or completing courses on behalf of another participant is strictly prohibited and can lead to serious consequences, including the denial of CE credits.
Conclusion
By adhering to these guidelines—ensuring accurate registration details with your personal CRD number and completing courses personally under your secured profile—you can smoothly fulfill your CE requirements. These measures are designed to maintain the integrity of the educational process and ensure that all participants meet the necessary ethical and regulatory standards set by FINRA. For any assistance with registration or to verify your details, please contact our support team.
Best regards,
The Adviser CE Team