Compliance Highlights Vol. 8

Overview

This course provides an overview of the compliance obligations outlined by the recent Report on FINRA’s Examination and Risk Monitoring Program (the Report). Firms and their representatives need to be well-versed on these topics and incorporate recommended procedures and practices into their business models. 

Learning Objectives

Upon completion of this course, the representative should be able to:

  • identify compliance obligations regarding procedures and practices
  • understand FINRA examination priorities
  • implement FINRA risk monitoring recommendations

Designed For

Registered representatives 

Find this course for your license:

License or Certification

Regulator

Type