Overview
This courses provides an overview of AML rules as well as a review of violations and the consequences of those violations. The material is supported with references to FINRA and SEC disciplinary actions. This course is geared toward registered representatives with a wholesaler client base.
Find this course for your license
License or Certification
Regulator
Type
Learning Objectives
- understand AML rules and regulations
- understand AML reporting obligations
- identify the consequences for violating the AML rules and regulations
Designed For:
Wholesaler registered representatives and other finance professionals
Course Information
Adding additional credit may change exam requirements.
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S2-31 - Framework