Compliance Highlights Vol 6

Overview

As a registered representative, you have compliance obligations to both your firm and your clients. You must be familiar with the latest best practices and any new or changed rules or regulations.
This course will explore those obligations through a look at highlights of the newest industry exam priorities, published by the Financial Industry Regulatory Authority (FINRA), and some of the rules that impact those priorities.

Learning Objectives

Upon completion of this course, you should understand the critical areas that FINRA highlights through its risk monitoring and examination priorities program. This course will focus on:

  • Regulation Best Interest (BI) and Form CRS
  • Communications with the Public
  • Cybersecurity
  • Technology Governance

Designed For

This course is designed for Registered Representatives 
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