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
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.
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