FINRA: 2023 Annual Compliance Review (EL-ELC273)

Overview

This course aims to help learners understand registered persons’ compliance obligations through scenarios based on real enforcement actions. 

Learning Objectives

Upon completion of this course, the student should understand the following obligations highlighted in the 2023 edition:

  • filing timely and accurate information;
  • maintaining books and records;
  • making business-related statements;
  • avoiding unauthorized trading;
  • interacting with FINRA staff; and
  • speaking up. 

Designed For

Registered Representatives 

Prerequisites

None 

Find this course for your license:

License or Certification

Regulator

Type