FINRA: 2024 Annual Compliance Review (EL-ELC280)

Overview

This course aims to help learners understand registered persons’ compliance obligations through scenarios based on real enforcement actions. 

Find this course for your license


License or Certification 

 

Regulator 

 

Type 

 


Objectives

  • Personal securities accounts and investments away from the firm
  • Securities transactions away from the firm
  • Markups, commissions and fees charged for services
  • Handling customer complaints
  • Cooperating with FINRA staff
  • Speaking up 

Designed For:

Registered Representatives 




Course Information

Adding additional credit may change exam requirements.

Prerequisites:
N/A