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FINRA: Regulatory Concerns for New Product (EL-ELC289)
Overview
This course provides learners with updates on current regulatory concerns surrounding products. Learners will also be provided with effective practices for registered persons and supervisors.
Find this course for your license
License or Certification
--Select an Option--
CFP® Certification CE
FINRA e-Learning
Regulator
Type
Learning Objectives
Complex Products Features and Risks
Complex Products Investor Protection Concerns
Private Placements Regulatory Considerations
Reasonable Investigation of Private Placements
Supervising Private Placement Recommendation
Designed For:
Registered Representatives
Course Information
Adding additional credit may change exam requirements.