FINRA: Annual Compliance Reminders for Registered Representatives—Vol. 6

Course Description

This course uses scenarios adapted from actual FINRA disciplinary actions to remind registered representatives about their compliance obligations. Volume 6 covers borrowing from clients, completing and amending Form U4s, conducting business using approved communication channels, disclosing participation in outside business activities, exercising discretion in customer accounts, falsifying documents related to customer accounts, maintaining accurate books and records, responding to FINRA requests for information, responding to firm compliance requests and submitting business expense reimbursements.

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: borrowing from clients, completing and amending Form U4s, conducting business using approved communication channels, disclosing participation in outside business activities, exercising discretion in customer accounts, falsifying documents related to customer accounts, maintaining accurate books and records, responding to FINRA requests for information, responding to firm compliance requests and submitting business expense reimbursements.

Complexity

Intermediate