Compliance Highlights, Vol. 7

Overview

This course is an overview of the compliance obligations outlined by the recent Report on FINRA’s Examination and Risk Monitoring Program (the Report). Firms and their representatives need to be well-versed on these topics and incorporate recommended procedures and practices into their business models.

Find this course for your license

License or Certification

Regulator

Objectives

Upon completion of this course, the representative should be able to:

Identify compliance obligations regarding procedures and practices.
Understand FINRA examination priorities
Implement FINRA risk monitoring recommendations

Designed For:

All registered representatives.

Course Information

Adding additional credit may change exam requirements.

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