FINRA: Annual Compliance Reminders for Registered Representatives, Vol. 8

Overview

This course uses scenarios adapted from actual FINRA disciplinary actions to remind registered representatives about their compliance obligations. Volume 8 covers cybersecurity, Form U4 disclosures, insider trading, and private securities transactions.

Learning Objectives

Students who successfully complete this course 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

Designed for

Retail

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