Cart Summary
0 courses
0 hours
View Cart
Sign In
Home
Products
Solutions
About
Sign In
Search
PublicSurveys
Toggle navigation
Products
Insurance Education
Securities Education
Certification Education
Tax & Accounting Education
Real Estate CE
Funeral CE
Workplace Education & Training
Solutions
For Businesses
For Recruiting
For Compliance
For Partners
For Casinos
About
Blog
Our Story
How We Work
Careers
Contact Us
Sign In
Chat
877-488-9308
Compliance Priorities, Vol 2 - Firm Operations
Overview
FINRA provides firms with the information they may need to include each year in their compliance programs. This course will provide highlights of firms’ operations’ rules and obligations, covering the extensive category of firm operations.
Find this course for your license
License or Certification
Firm Element
Regulator
Firm Element
Type
Program Training
Learning Objectives
The risks of using third-party vendors.
The use of written policies and procedures applicable to administrative, technical, and physical safeguards to protect customer records and information.
The importance of notifying firms of outside business activities and proposed private securities transactions.
The importance of maintaining proper books and records and the areas requiring more attention.
How to protect vulnerable adults and senior investors better.
How to prepare adequate crowdfunding offerings (broker-dealers and funding portals) records.
Designed For:
Registered Representatives
Course Information
Adding additional credit may change exam requirements.
Prerequisites:
None