FINRA: Securities Regulation Fundamentals

Overview

This course is designed to increase registered representatives’ familiarity with the structure of securities regulation in the U.S. Learning concepts and in-course activities highlight federal securities laws, rules and regulations, and regulators. Scenarios also highlight the distinctions between various investment professionals in the securities industry.  

Learning Objectives

Students who successfully complete this course will be able to:

  • identify major legislation that has shaped the structure of U.S. securities regulation;
  • describe the mission and jurisdiction of regulators in the securities industry;
  • and distinguish between investment professionals in the securities industry.

Designed for

Retail

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