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


This course uses scenarios adapted from actual FINRA disciplinary actions to remind institutional registered representatives about their compliance obligations. Volume 2 covers responding to FINRA requests for information, borrowing money from clients, ethical behavior, and more.

Learning Objectives

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

  • identify common regulatory requirements
  • know how to meet your compliance obligations as you go about your daily business
  • understand the potential consequences of failing to comply with your firm’s policies and FINRA’s rules

Designed For


Find this course for your license:

License or Certification