When are registered persons required to fulfill their Continuing Education (CE) Regulatory Element requirement?
FINRA's Continuing Education (CE) requirements include the Regulatory Element, which must be completed:
Within 120 days of the second anniversary of a registered representative's initial registration.
Every three years thereafter (changed to every two years as of 2023).
C is correct because registered persons must complete the CE Regulatory Element after their initial requirement and then every two years.
A and B are incorrect because CE is not required annually or semiannually.
D is incorrect because CE is not tied to customer complaints.
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