Compliance Priorities, Vol 2 - Crypto Assets
Overview
Each year, FINRA provides firms with the information they may need to include in their compliance programs. This course will provide an overview of the rules and obligations of firm operations that cover crypto assets.
Find this course for your license
License or Certification
Regulator
Type
Learning Objectives
- Crypto assets
- The consequences for violating industry rules and firm obligations involving crypto assets
- FINRA findings and recommended best practices
Designed For:
Registered Representatives
Course Information
Adding additional credit may change exam requirements.
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S1-31 - Framework