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. 

Find this course for your license


License or Certification 

 

Regulator 

 

Type 

 

Learning Objectives

  • understand the importance of filing timely and accurate information
  • learn how to maintain books and records
  • know how to make appropriate business-related statements
  • avoid unauthorized trading
  • interact effectively with FINRA staff
  • recognize the importance of speaking up


Designed For:

Registered Representatives 




Course Information

Adding additional credit may change exam requirements.

Prerequisites:
None 
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