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. 

Find this course for your license


License or Certification 

 

Regulator 

 

Type 

 

Learning Objectives

  • understand the role of a trusted contact person
  • learn about regulatory events reporting
  • gain knowledge on private placements
  • master effective communications with the public
  • ensure best execution practices
  • understand segregation of assets and customer protection
  • learn about portfolio margin and intraday trading


Designed For:

Registered Representatives 




Course Information

Adding additional credit may change exam requirements.

Prerequisites:
None 
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