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


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

Upon completion of this course, students 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 Representatives

Find this course for your license:

License or Certification