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. 

Learning Objectives

Upon completion of this course, the representative should be able to:

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

Designed For

Registered representatives 

Find this course for your license:

License or Certification

Regulator

Type