FINRA: Securities Regulation Fundamentals (EL-ELC284)

Overview

This course reviews major legislation that shapes the structure of U.S. securities regulation and the regulators who create and enforce these rules. The course also works to describe the mission and jurisdiction of these regulators and helps learners distinguish between different types of investment professionals in the securities industry.

Find this course for your license

License or Certification

Regulator

Learning Objectives

Federal and state regulators that govern the securities sector
The mission and jurisdiction of regulators in the securities industry
Self-regulatory organizations (SROs), including security exchanges, FINRA and the MSRB
Distinguish between participants in the securities markets

Designed For:

Registered Representatives

Course Information

Adding additional credit may change exam requirements.

Prerequisites:

N/A

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