FINRA: Financial Crimes

Overview

This course is designed to help registered representatives understand their responsibility to recognize and report “red flags” of financial crimes, which may occur at or through their firm. It also includes best practices for protecting clients and financial firms from the illicit activity.

Learning Objectives

This course aims to help you:

  • Name and explain various type of financial crimes that occur in the securities industry.
  • Recognize and describe common methods of committing financial crimes and their related red flags.
  • Escalate and report suspicious activity that might be indicative of a financial crime.
  • Leverage best practices to help protect your customers and your firm from financial crimes.
  • Identify resources used for recognizing and reporting suspicious activity. 

Designed For

Registered Representatives


Find this course for your license:

License or Certification

Regulator

Type