SIE Exam Dumps | When is a newly registered person subject to the Continuing Education Regulatory Element requirement?

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Question 31/80

When is a newly registered person subject to the Continuing Education Regulatory Element requirement?

A. The calendar year following initial registration

B. On the anniversary date of initial registration

C. Every three years after the date of registration

D. Every five years

Correct Answer: B

Step by Step Explanation:
* Regulatory Element Requirement: Newly registered persons must complete the Continuing Education (CE) Regulatory Element on the second anniversary of their initial registration and every three years thereafter.
* Incorrect Options:
* A: The requirement begins on the second anniversary, not the following calendar year.
* D: The cycle is every three years, not five.
References:
* FINRA Rule 1240 (Continuing Education): FINRA Rule 1240.

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