Series 63 practice questionmediumContinuing Education Triggers
Under FINRA's current Regulatory Element framework, how often must a covered registered person generally complete the Regulatory Element?
- AAnnually by December 31✓ Correct answer
- BOnly after a customer complaint settlement
- COnly after changing firms
- DOnce every three years
Explanation
Why A — Annually by December 31
Covered registered persons generally must complete the FINRA Regulatory Element each calendar year by December 31. Customer complaints, firm changes, and registration lapses involve separate rules and are not the event-based schedule asserted in the original item.
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