Compliance Highlights, Vol. 10
Overview
The course will highlight and focus on the issues that FINRA raised in its Annual Regulatory Oversight Report. It is a valuable tool for confirming that a firm’s policies and procedures have addressed all of the issues that FINRA will focus on that year.
Find this course for your license
License or Certification
Regulator
Type
Learning Objectives
- Financial crimes
- Firm operations
- Seniors and trusted contacts
- Crowdfunding offerings
- Member firms and crypto assets
Designed For:
Registered Representatives
Course Information
Adding additional credit may change exam requirements.
| Prerequisites: | None |
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