Course Information

FINRA e-Learning

FINRA: AML Overview (EL-ELC285)

Overview

This course highlights FINRA’s Anti-Money Laundering (AML) Compliance Program (FINRA Rule 3310) and the Bank Secrecy Act (BSA) and its implementing regulations. Required procedures are covered, and learners are given the choice between scenarios targeted at retail representatives, operations professionals and institutional sales.

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

Written AML compliance programs
Customer identification program (CIP) and customer due diligence
Beneficial ownership information
Verifying customer identification information
Red flags of suspicious activity
Reporting suspicious activity

Designed For:

Registered Representatives

Course Information

Adding additional credit may change exam requirements.

Access Period:	12 months
Prerequisites:	N/A
Delivery Method:	Self-Study
PDF Download:	Not Available
Provider of Record:	FINRA
Provider Number:	Approved
Last Reviewed:	October 2024
Study Level:	Intermediate
Approved For:	Firm Element

Exam

Proctor:

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