FINRA: Annual Compliance Reminders for Registered Representatives—Vol. 5

Course Description

This course uses scenarios adapted from actual FINRA disciplinary actions to remind registered representatives about their compliance obligations. Volume 5 covers responding to regulatory requests in a timely manner, recognizing red flags, maintaining ethical behavior when fulfilling continuing education requirements, suitability, proper handling of customer accounts and observing high standards commercial honor.

Learning Objective(s)

In this course, you will be able to:

  • Identify common regulatory requirements.
  • Understand the potential consequences of failing to comply with your firm's policies and FINRA rules.
  • Recognize your compliance obligations in: responding to regulatory requests in a timely manner, recognizing red flags, maintaining ethical behavior when fulfilling continuing education requirements, suitability, proper handling of customer accounts and observing high standards commercial honor.

Complexity

Intermediate

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