FINRA: AML Overview (EL-ELC285)

Overview

This course highlights FINRA’s Anti-Money Laundering (AML) Compliance Program (FINRA Rule 3310) and the Bank Secrecy Act (BSA) and its implementing regulations. Required procedures are covered, and learners are given the choice between scenarios targeted at retail representatives, operations professionals and institutional sales.

Find this course for your license

License or Certification

Regulator

Objectives

Written AML compliance programs
Customer identification program (CIP) and customer due diligence
Beneficial ownership information
Verifying customer identification information
Red flags of suspicious activity
Reporting suspicious activity

Designed For:

Registered Representatives

Course Information

Adding additional credit may change exam requirements.

Prerequisites:

N/A

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