Compliance Highlights, Volume 4

Overview

As a registered representative, you have compliance obligations to both your firm and your clients. For this reason, you should ensure that you are familiar with the latest best practices and any new or changed rules or regulations. This course will explore those obligations through a look at highlights of the newest industry exam priorities published by both the Financial Industry Regulatory Authority (FINRA) and the Securities Exchange Commission (SEC) and some of the rules that impact those priorities.

Learning Objectives

Upon completion of this course, students should understand the rules and regulations for compliance and consequences of non-compliance surrounding:

  • private placements
  • risk
  • conflicts of interest
  • anti-money laundering

Designed For

All registered representatives
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