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
Regulator
Type
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 |
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S1-31 - Framework