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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
--Select an Option--
CFP® Certification CE
FINRA e-Learning
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