FINRA: AML—Bank Affiliated Broker-Dealers: Understanding Your Role—Vol. 1


FINRA’s anti-money laundering (AML) e-learning courses cover concepts and strategies for detecting and preventing money-laundering activity. Each course presents unique scenarios that illustrate typical money-laundering situations. Scenarios in this course will help registered representatives at bank-affiliated broker-dealers identify unusual activity in customer accounts that could indicate potential money laundering, and identify what steps to take when such suspicion arises.

Learning Objectives

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

  • Understand why broker-dealers have AML compliance programs
  • Know what is required to conduct customer identity verification
  • Recognize the importance of ongoing due diligence as it relates to customers and their accounts
  • Better understand your role in recognizing and escalating suspicious activity

Designed For

All registered representatives and registered principals

Find this course for your license:

License or Certification