FINRA: 2022 Annual Compliance Review (EL-ELC271)

Overview

This course aims to help learners understand registered persons’ compliance obligations through scenarios based on real enforcement actions. The 2022 edition highlights obligations such as outside business activities, gifts and gratuities, fair prices and commissions, borrowing from customers, interacting with FINRA staff, and speaking up.

Find this course for your license

License or Certification

Regulator

Learning Objectives

explore enforcement actions and related rules and regulations from the past year; and
review trends and emerging risk areas in the industry RRs should keep apprised of.

Designed For:

Registered Representatives

Course Information

Adding additional credit may change exam requirements.

At WebCE, we are passionate about delivering exceptional professional development solutions. With world-class customer support and education to serve multiple professions, we're here to help professionals reach their career goals.