S901 Regulatory Continuing Education Prep Course

The FINRA Continuing Education consists of the Regulatory Element and the Firm element. This two-part system involves a series of 4 Continuing Education programs along with an element designed and applied within each individual firm.

Through the new FINRA CE Online Program, You may complete your S901 Regulatory continuing education online or at an approved center. The online approach allows participants to study and test on the material at their own pace. You must complete your S901 continuing education within 120 days after receiving your notice. The option of signing up for the Regulatory Element is also available at a local testing center. At the center, an overview of the material may be completed in 3.5 hours at an increased cost.

For Modules A, B & C participants will be presented with a case study that they must evaluate. Module D is a self-selection section that allows each participant to choose a program based on their job function.

Individual Modules for the FINRA S901 CE Program Include:

  • Module A: Client Confidentiality and Responsibilities of Registered Persons
  • Module B: Operations Workflow
  • Module C: Product and Market Knowledge
  • Module D: Personalized Cases
  • o D.1 New Accounts
    o D.2 Trading and Settlement
    o D.3 Operations Generalist
    o D.4 Treasury, Custody and Control
Modules may be completed in the order of the participants choosing.

Course Details

If completed online, the S901 course will cost $55 per session. If completed at a local test center the program will cost $100.

If you choose to use the CE Online Program, you will have 120 days to finish each session. You may also pace yourself by starting and stopping the program at any time.

If you choose to apply to one of the many local testing centers you will have 3.5 hours to complete the course and will be required to sign an FINRA Data Processing Consent Form while also paying a surcharge of $15.

Participants who choose to complete the 901 program at a local testing center will be required to finish in 3.5 hours. They are also required to sign the FINRA Data Processing Consent Form as well as paying an additional $15.

Prerequisites

The S901 course is required for all Series 99 registered persons.

To keep a TD Registration, an induvial will be required to complete the S901 CE Program. Any registered, eligible individual with an open window may take the S901 program online.

Prep Course Outline

At the Securities Institute we want you to be prepared and successful. This is why we created the new S901 training program. The S901 program is designed to help you fully learn the material so you can complete your regulatory CE requirement with ease. The Securities Institute will help you master this material as we walk you through the content.

We realize that this training course is much more than just a course for continuing education requirements. The S901 course is a way for you to further your career, education, and skills.

The Securities Institute S901 Training Program Includes:
  • 5 Hours of Video Training
  • Reading Assignments
  • Q&A Tests
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