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 following obligations are highlighted in the 2022 edition:

  • outside business activities;
  • gifts and gratuities;
  • fair prices and commissions;
  • borrowing from customers;
  • interacting with FINRA staff; and
  • speaking up. 

Learning Objectives

This course aims to help learners understand RRs’ compliance obligations by:

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

Designed For

Registered Representatives


Find this course for your license:

License or Certification

Regulator

Type