Finra Exam SIE Topic 2 Question 7 Discussion

Actual exam question for Finra's SIE exam

Question #: 7
Topic #: 2

[All SIE Questions]

When are registered persons required to fulfill their Continuing Education (CE) Regulatory Element requirement?

AAnnually

BSemiannually

CAfter the initial three-year requirement and then every two years

DUpon the receipt of a customer complaint

Show Suggested Answer

Suggested Answer: C

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.

by Whitley at Mar 09, 2025, 01:02 PM

Limited Time Offer

25%

Off

Get Premium SIE Questions as Interactive Web-Based Practice Test or PDF

Contribute your Thoughts:

Submit Cancel

Rana

22 days ago

I'm going with C. It's important to keep our knowledge up-to-date, but not to the point of overkill. Every two years sounds about right.

upvoted 0 times

...

Mattie

23 days ago

Haha, D is clearly a joke option. As if a customer complaint would make you take your CE exam again. That's just ridiculous.

upvoted 0 times

...

Ronald

28 days ago

A or B would be my guess, but C sounds more plausible. Gotta stay on top of those regulations, you know?

upvoted 0 times

Robt

4 days ago

Yeah, you're right. It's important to stay updated on regulations.

upvoted 0 times

...

Germaine

16 days ago

I think C is correct, it's every two years after the initial three-year requirement.

upvoted 0 times

...

2 months ago

I think the answer is C. It makes sense to have a longer initial requirement and then a recurring one every two years.

upvoted 0 times

Martin

1 months ago

Yes, it helps ensure that registered persons stay up to date with their knowledge and skills.

upvoted 0 times

...

Gaston

1 months ago

I agree, it does make sense to have a longer initial requirement.

upvoted 0 times

...

Carri

2 months ago

C) After the initial three-year requirement and then every two years

upvoted 0 times

...