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FINRA: 2024 Annual Industry Priorities Review (EL-ELC281)
Overview
This annual course highlights select industry priorities from FINRA’s Examinations and Risk Monitoring Program report. It works to familiarize learners with resources and methods for staying current on their own.
Find this course for your license
License or Certification
FINRA e-Learning
Regulator
Firm Element
Type
Program Training
Objectives
Manipulative trading
Regulatory events reporting
Private placements
Segregation of assets and customer accounts
Designed For:
Registered Representatives
Course Information
Adding additional credit may change exam requirements.
Prerequisites:
N/A