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.

• 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. 

Registered Representatives