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
Learning 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 |
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S2-31 - Framework