FINRA: 2025 Supervisory Trends (EL-ELC294)
Overview
This course allows learners to interact with a key resource for staying current with trends in the regulatory landscape, review important reminders and practice making decisions regarding registered persons’ actions.
Find this course for your license
License or Certification
Regulator
Type
Learning Objectives
- Introduction to the FINRA Annual Regulatory Oversight Report
- OBAs and PSTs
- Communications with the Public
- Regulatory Events and Other Disclosures
Designed For:
Registered Representatives & Supervisors
Course Information
Adding additional credit may change exam requirements.
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