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.

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

Institutional