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 

 

Regulator 

 

Type 

 


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