Compliance Highlights, Vol. 11
Overview
This course will highlight the issues raised by FINRA in its Annual Regulatory Oversight Report. It is a valuable tool for confirming that a firm’s policies and procedures have addressed all the issues that FINRA will focus on that year.
Find this course for your license
License or Certification
Regulator
Type
Learning Objectives
- Identify key compliance responsibilities related to financial crimes prevention.
- Recognize GenAI trends and associated compliance risks.
- Describe firm operations requirements and supervisory obligations.
- Evaluate compliance considerations related to members’ crypto activities.
- Apply compliance standards to communications and sales practices.
Designed For:
Registered Representatives
Course Information
Adding additional credit may change exam requirements.
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S2-31 - Framework