FINRA: Books and Records

Overview

This course explains the obligations of registered persons to maintain records of actions undertaken in their capacity as representatives of the firm. Scenarios illustrate and reinforce compliance with recordkeeping and retention requirements when electronic media are involved.

Learning Objectives

Upon completion of this course, students will be able to:

  • understand the applicable SEC and FINRA books and records requirements.
  • know how to maintain a complete and accurate books and records in securities industry.
  • understand how to adhere to the regulations and your firm's guidance when conducting your business.

Designed For

All registered representatives and registered principals
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