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
- 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