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
- 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