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In observance of Memorial Day, WebCE Support Services hours will be:
Fri, May 24th: 7:00am-7:00pm CST | Sat, May 25th: 10:00am-3:00pm CST | Sun May 26th - Mon May 27th: Closed

We will resume our regular hours of 7:00am-7:00pm CST on Tues May 28th, Online catalogs and course delivery will be available without interruption.

FINRA: Annual Compliance Reminders for Institutional Registered Representatives—Vol. 4 (ELC246)

Overview

This course uses scenarios adapted from actual FINRA disciplinary actions to remind institutional registered representatives about their compliance obligations. Volume 4 covers private securities transactions, use of social media, conflicts of interest, ethical behavior, and customer complaints.

Learning Objectives

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

  • identify common regulatory requirements
  • 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

Institutional


Find this course for your license:

License or Certification

Regulator

Type