FINRA: Annual Compliance Reminders for Registered Representatives, Vol. 9 (ELC260)

Overview

This course uses scenarios adapted from actual FINRA disciplinary actions to remind registered representatives about their compliance obligations. Volume 9 covers cybersecurity, ethics, financial exploitation of seniors, outside business activities and private securities transactions, professional designations and suitability, and 529 savings plans.

Learning Objectives

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

  • identify common regulatory requirements
  • meet your compliance obligations as you go about your daily business
  • recognize the potential consequences of failing to comply with your firm’s policies and FINRA’s rules

Designed For

All registered representatives
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