FINRA: 2023 Annual Industry Priorities Review (EL-ELC274)

Overview

This course highlights select industry priorities and familiarizes learners with resources and methods for staying current on their own. 

Learning Objectives

Upon completion of this course, students will understnad the following priorities highlighted in the 2023 edition:

  • trusted contact person;
  • regulatory events reporting;
  • private placements;
  • communications with the public;
  • best execution;
  • market access;
  • segregation of assets and customer protection; and
  • portfolio margin and intraday trading. 

Designed For

Registered Representatives 

Prerequisites

None 

Find this course for your license:

License or Certification

Regulator

Type