FINRA: Annual Compliance Reminders for Registered Representatives—Vol. 3

Course Description

This course uses scenarios adapted from actual FINRA disciplinary actions to remind registered representatives about their compliance obligations. Volume 3 covers communications with the public, suitability, ethical behavior and more.

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: managing conflicts of interest, responding to all compliance requests in a timely manner, ensuring proper communications with the public, maintaining ethical behavior, falsifying documents or information, proper handling of customer complaints and settlements, providing accurate expense reports to your firm, providing accurate customer information, maintaining ethical behavior when transacting business with your firm, ensuring recommendations and transactions are suitable.

Complexity

Intermediate

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