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Bulletin #0868-ME

For further information, please contact:

Brett Konyu
Director, Member Education and Membership Services
Member Education
For Distribution to Relevant Parties within your Firm

CERTS – Onboarding Plan

In March, 2018, the MFDA published, for a 90-day comment period, proposed Rules 1.2 (Definitions), and 1.2.6 (Continuing Education), and Proposed Policy No. 9 – Continuing Education (CE) Requirements, which would establish CE requirements for Members and Approved Persons, and minimum standards for complying with such requirements (see Bulletin #0743-P).

The Rule and Policy noted above (“CE Requirements”) have now received the required approvals (See Bulletin #0867-ME).

The effective date of the CE requirements is December 1, 2021. The purpose of this Bulletin is to provide an overview the MFDA’s plan to onboard stakeholders (Members, Participants, Accreditors and Providers) into the MFDA CE Reporting and Tracking System (“CERTS”). In conjunction with this bulletin, the MFDA has also launched a new section of its website titled “Continuing Education” which contains guidance and information for stakeholders. This section will be updated throughout the CERTS implementation process. These updates will include a series of webinars to support the understanding and implementation of the CE Requirements.

The following provides a general timeline of the CERTS onboarding process:

July to December 1, 2021 – Launch of CERTS and Onboarding Members and Participants (Approved Persons)

Once CERTS is launched, Member CCOs will receive an email from the MFDA outlining the process for onboarding Member Administrators (i.e. individuals who will have access to Member records and entering information into CERTS on behalf of the Member) and the Member’s Participants (i.e. Approved Persons).

We anticipate there will be in excess of 60,000 individuals subject to the CE Requirements and it will take time to onboard all Participants into CERTS. The MFDA will be working with Members to make sure all Participants have access to CERTS by December 1, 2021. We ask that Participants wait until December 1, 2021 before contacting their Member or the MFDA to inquire about their CERTS account.

Beginning July 2021- Applications to be Recognized as a Third Party Accreditor

Organizations seeking to become recognized as Third Party Accreditors will be required to submit an application to the MFDA. The application requirements and guidance on the accreditation process are available on the MFDA website.

The names of recognized Third Party Accreditors will be posted to the Continuing Education section of the MFDA’s website and within CERTS.

Beginning October 2021 – Onboarding of Education Providers (“Providers”)

The MFDA will begin onboarding organizations that wish to offer CE activities to Participants starting in October 2021.

Guidance and information for Providers will be available on the MFDA website prior to October 2021.

Questions and Guidance

Upon launch of CERTS and throughout the first CE cycle, the MFDA anticipates a large number of inquiries. Stakeholders are encouraged to review the guidance that has been provided on the Continuing Education page on the MFDA website. Stakeholders can also reach out to MFDA staff at for additional assistance.