Compliance Priorities, Vol. 2 - Financial Crimes

Overview

FINRA provides firms with the information for inclusion in compliance programs each year. This course provides an overview of the rules and obligations of firm operations regarding financial crimes. 

Find this course for your license


License or Certification 

 

Regulator 

 

Type 

 

Learning Objectives

Understand your compliance obligations regarding the financial crimes identified as:
  • Cybersecurity and Cyber-enabled Fraud
  • Anti-Money Laundering, Fraud and Sanction
  • Manipulative Trading


Designed For:

Registered Representatives 




Course Information

Adding additional credit may change exam requirements.

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