FINRA: Annual Compliance Reminders for Registered Representatives, Vol. 9 (ELC260)

This course uses scenarios adapted from actual FINRA disciplinary actions to remind registered representatives about their compliance obligations. Volume 9 covers cybersecurity, ethics, financial exploitation of seniors, outside business activities and private securities transactions, professional designations and suitability, and 529 savings plans.

By taking this course, you will be able to:

  • Identify common regulatory requirements.
  • Meet your compliance obligations as you go about your daily business; and
  • Recognize the potential consequences of failing to comply with your firm's policies and FINRA's rules.
Find Courses Now