Compliance Highlights, Volume 3

Overview

This course highlights compliance obligations that have been designated by FINRA as a high priority.

Find this course for your license


License or Certification 

 

Regulator 

 

Type 

 

Objectives

Students who successfully complete this course will be able to:

  • understand rules surrounding senior investors and fraud
  • discuss business continuity planning
  • understand customer protection and cybersecurity
  • discuss anti-money laundering processes
  • understand the importance of suitability

Designed For:

Retail




Course Information

Adding additional credit may change exam requirements.

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