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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
Firm Element
Regulator
Firm Element
Type
Program Training
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.