Compliance Highlights, Volume 5

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, you should understand the key areas of FINRA’s 2020 risk monitoring, surveillance, and examination programs for compliance with federal securities laws and regulations, as well as FINRA rules, and consequences of non-compliance surrounding:

  • Sales practice and supervision
  • Market integrity
  • Financial management
  • Firm operations

Designed For

Registered Representatives, Investment Advisers 
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