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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