Compliance Priorities, Vol 3 – Digital Assets

Overview

Each year, FINRA provides firms with the information they may need to include in their compliance programs. This course will provide an overview of the rules and obligations governing firm operations involving crypto assets, also known as “digital assets.” 

Find this course for your license


License or Certification 

 

Regulator 

 

Type 

 


Learning Objectives

  • Understand the violations that are occurring involving digital assets
  • Understand how to avoid violations that are occurring involving digital assets


Designed For:

Registered Representatives 




Course Information

Adding additional credit may change exam requirements.