Series 14: 7.3.5.6. Continuing Education

Taken from our Series 14 Online Guide

7.3.5.6. 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

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