AML: The Basics


This course discusses the responsibilities of a firm to establish an Anti-Money Laundering Program as required by the Bank Secrecy Act and its implementing regulations and FINRA Rule 3310.

Learning Objectives

Students who successfully complete this course will be able to:

  • define the money laundering process
  • understand the FINRA rules surrounding AML compliance programs
  • understand customer due diligence and beneficial ownership

Designed For

All registered representatives and associated persons

Find this course for your license:

License or Certification