Overview
Each year, FINRA provides firms with the information they may need to include in their compliance programs. This compliance course will provide an overview of the rules and obligations of firm operations covering AML, cybersecurity, outside business activities and books and records.
Learning Objectives
- understand compliance obligations regarding anti-money laundering
- recognize compliance requirements for cybersecurity and technology
- identify rules for outside business activities and private securities transactions
- understand compliance standards for maintaining books and records
Designed For
Registered Representatives
Find this course for your license:
License or Certification
Regulator
Type