Compliance Priorities Vol. 3 - Firm Operations
Overview
FINRA provides firms with the information they may need to include in their compliance programs each year. This course will provide an overview of firms’ operations rules and obligations, covering the broad category of firm operations.
Find this course for your license
License or Certification
Regulator
Type
Learning Objectives
- Understand the risks associated with using third-party vendors.
- Understand the importance of notifying firms of outside business activities and proposed private securities transactions.
- Understand the importance of maintaining proper books and records, and the areas requiring more attention.
- Understand how to better protect vulnerable adults and senior investors.
Designed For:
Registered Representatives
Course Information
Adding additional credit may change exam requirements.
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S2-32 - Framework