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