# 2026-22561: FINRA Offers Senior Finance Leaders Optional Regulatory Refresher Training

2026-22561, Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt FINRA Rule 1240.03 (Senior Leader Regulatory Element Interim Program) To Establish an Interim Program of Regulatory Element Continuing Education, is a Federal Register notice from Securities and Exchange Commission published 2026-11-05, effective 2026-10-29; PRIA reads it as touching household money (as of 2026-11-06).

- Canonical: https://policyrisk.com/federal-register/2026-22561
- As of: 2026-11-06
- Plain-text twin of the page above; the HTML and this file carry the same facts.

## Facts
- Document number: 2026-22561
- Title: Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt FINRA Rule 1240.03 (Senior Leader Regulatory Element Interim Program) To Establish an Interim Program of Regulatory Element Continuing Education
- Type: Notice
- Agencies: Securities and Exchange Commission
- Citation: 91 FR 69897
- Published: 2026-11-05
- Effective: 2026-10-29
- Comments close: not stated
- Significant: no
- Touches household money: yes
- Regulation identifier numbers: none
- Last updated: 2026-11-06

## In one line

FINRA Offers Senior Finance Leaders Optional Regulatory Refresher Training

## Summary

FINRA is rolling out a new optional training program for senior leaders in financial firms to keep their skills sharp and up-to-date. This new rule lets firms choose if their top people want to join this continuing education program, starting right away with no extra fees. It’s a smart move to help leaders stay on top of the game without any pressure or cost.

## Effects PRIA read

- Optional senior‑leader CE pathway: benefit, low. Member firms may choose to have their senior leaders complete a new Senior Leader Regulatory Element Interim Program instead of the usual assigned Regulatory Element courses. The Interim Program is voluntary, requires participating senior leaders to take the training on an annual basis, would opera…
- Firm delivery, certification, and record obligations: cost, low. If a firm elects the Interim Program, the firm's chief compliance officer (CCO) or other senior compliance officer will provide the training (rather than FINRA's online platform). Participating senior leaders must certify completion, the firm must retain those certifications for at least three year…
- Immediate operability before year‑end CE deadline: benefit, low. The Commission waived the normal 30‑day delay so the proposed rule change became operative upon filing (filed October 29, 2026). That immediate operability lets member firms elect participation and receive Interim Program materials in time to consider participation for the December 31, 2026 Regulat…

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## Sources
- [2026-22561 on federalregister.gov](https://www.federalregister.gov/documents/2026/11/05/2026-22561/self-regulatory-organizations-financial-industry-regulatory-authority-inc-notice-of-filing-and)
- [2026-22561 as published (PDF)](https://www.govinfo.gov/content/pkg/FR-2026-11-05/pdf/2026-22561.pdf)

## Related
- [Previous: 2026-22560, Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate…](https://policyrisk.com/federal-register/2026-22560)
- [Next: 2026-22562, Self-Regulatory Organizations; NYSE Texas, Inc.; Notice of Filing and Immediate…](https://policyrisk.com/federal-register/2026-22562)
- [All Federal Register documents](https://policyrisk.com/federal-register)

Source: PRIA, https://policyrisk.com/federal-register/2026-22561 (as of 2026-11-06).