Course Information

FINRA e-Learning

FINRA: 2022 Annual Compliance Review (EL-ELC271)

Overview

This course aims to help learners understand registered persons’ compliance obligations through scenarios based on real enforcement actions. The 2022 edition highlights obligations such as outside business activities, gifts and gratuities, fair prices and commissions, borrowing from customers, interacting with FINRA staff, and speaking up.

Summary Details

Hours

0.5

Price

$18.00

This course is not subject to discount pricing.

Save Time and Money with Additional Credit

Select all the additional credit you need and then add to cart

CFP ^{Add Certified Financial Planner CE Credit to Your CourseAdd CFP continuing education credit to your course for only a small additional charge. Once the CFP CE is selected you will then see the approved credit hours and fee. Ordering at the time of purchase will allow you to complete one exam and receive certificates of completion for each of the credits added. Credits will be reported upon completion according to our reporting schedule.}

Learning Objectives

explore enforcement actions and related rules and regulations from the past year; and
review trends and emerging risk areas in the industry RRs should keep apprised of.

Designed For:

Registered Representatives

Course Information

Adding additional credit may change exam requirements.

Access Period:	12 months
Prerequisites:	None
Delivery Method:	Self-Study
PDF Download:	Not Available
Provider of Record:	FINRA
Provider Number:	Approved
Study Level:	Intermediate
Approved For:	Firm Element

Exam

Proctor:	No
Passing Grade:	70
Questions:	10

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