Course Information

FINRA e-Learning

FINRA: 2025 Annual Compliance Review (EL-ELC295)

Overview

This course will explore common compliance obligations—and areas of potential risk— as highlighted by actual enforcement actions by FINRA from the past year. Using these events, the course will explore registered persons’ obligations to their broker-dealers, their customers and to FINRA, as well as the relevant rules and regulations that underpin them.

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

Securities Transactions Away From BD
Conflicts of Interest
Opening Accounts & Rule 2090
Reg BI
Obligations to FINRA

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
Last Reviewed:	April 2025
Study Level:	Intermediate
Approved For:	Firm Element

Exam

Proctor:	No
Passing Grade:	70

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