FINRA: AML—Independents: Understanding Your Compliance Obligations


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 independent 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