FINRA: Annual Compliance Reminders for Institutional Registered Representatives—Vol. 2

Overview

This course uses scenarios adapted from actual FINRA disciplinary actions to remind institutional registered representatives about their compliance obligations. Volume 2 covers responding to FINRA requests for information, borrowing money from clients, ethical behavior, and more.

Learning Objectives

Students who successfully complete this course will be able to:

  • identify common regulatory requirements
  • know how to 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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