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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
FINRA e-Learning
Regulator
Firm Element
Type
Program Training
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.