Holiday Hours

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: AML—Retail: Understanding Your Compliance Obligations

Overview

FINRA’s anti-money laundering (AML) e-learning courses cover concepts and strategies for detecting and preventing money-laundering activity. Each course presents unique scenarios that illustrate typical money-laundering situations. In this course, scenarios highlight risks retail firms and registered representatives face when handling unusual account activity and expediting the account-opening process.

Learning Objectives

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

  • understand why broker-dealers have AML compliance programs
  • know what is required to conduct customer identity verification
  • recognize the importance of ongoing due diligence as it relates to customers and their accounts.Identify "red flags" that may signal money laundering or other potentially suspicious activity.Better understand your role in recognizing and escalating suspicious activity

Designed For

All registered representatives and registered principals

Find this course for your license:

License or Certification

Regulator

Type