FINRA: Annual Compliance Reminders for Registered Representatives—Vol. 2


This course uses scenarios adapted from actual FINRA disciplinary actions to remind registered representatives about their compliance obligations. Volume 2 covers social media and public communications, trade authorizations, Form U4 disclosures, outside business activities, private securities transactions, handling customer funds related to borrowing money from customers, and maintaining ethical behavior when fulfilling continuing education requirements.

Learning Objectives

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

  • identify common regulatory requirements. - Understand the potential consequences of failing to comply with your firm's policies and FINRA rules
  • recognize your compliance obligations in: using social media and public communications appropriately, ensuring all customer transactions are authorized, disclosing all material information on your form U4, ensuring proper notice to your firm about outside business activities, following proper steps before engaging in private securities transactions, handling your customer's funds in a proper manner, maintaining ethical behavior

Designed For

All registered representatives and registered principals

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License or Certification