FINRA: Annual Compliance Reminders for Registered Representatives—Vol. 4

Course Description

This course uses scenarios adapted from actual FINRA disciplinary actions to remind registered representatives about their compliance obligations. Volume 4 covers handling customer accounts and funds properly, unauthorized transactions, outside business activities, suitability 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: handling your customer's funds in a proper manner, disclosing all material information on your form U4, ensuring all customer transactions are authorized, following proper steps before engaging in outside business activities and holding outside securities account, managing conflicts of interest, ensuring recommendations and transactions are suitable for your customer, acting ethically when handling customer accounts, ensuring that your clients signs required forms, using public communications appropriately, maintaining ethical behavior when transacting business with your firm.

Complexity

Intermediate

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