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Compliance Highlights Vol. 9

Overview

This course provides an overview of the compliance obligations outlined by the recent Report on FINRA's Annual Regulatory Oversight Report. Firms and their representatives must be well-versed on these topics and incorporate recommended procedures and practices into their business models. 

Find this course for your license


License or Certification 

 

Regulator 

 

Type 

 

Learning Objectives

  • identify compliance obligations regarding procedures and practices
  • understand FINRA examination priorities
  • implement FINRA risk monitoring and best practice recommendations


Designed For:

Registered representatives 




Course Information

Adding additional credit may change exam requirements.

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