FINRA: Annual Compliance Reminders for Retail Registered Representatives, Vol 7

Course Description

This course uses scenarios adapted from actual FINRA disciplinary actions to remind registered representatives about their compliance obligations. Volume 7 covers suitability, communications with the public, outside business activities, concealing the improper receipt of customer funds, falsifying documents related to customer accounts, misuse of discretionary power, unauthorized trading and more.

Learning Objectives

In this course, you 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.

Complexity

Intermediate