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.

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

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