FINRA: Annual Compliance Reminders for Institutional Registered Representatives—Vol. 4 (ELC246)

Overview

This course uses scenarios adapted from actual FINRA disciplinary actions to remind institutional registered representatives about their compliance obligations. Volume 4 covers private securities transactions, use of social media, conflicts of interest, ethical behavior, and customer complaints.

Learning Objectives

Students who successfully complete this course will be able to:

  • identify common regulatory requirements
  • meet your compliance obligations as you go about your daily business
  • understand the potential consequences of failing to comply with your firm’s policies and FINRA’s rules

Designed for

Institutional

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