Holiday Hours

In observance of Memorial Day, WebCE Support Services hours will be:
Fri, May 24th: 7:00am-7:00pm CST | Sat, May 25th: 10:00am-3:00pm CST | Sun May 26th - Mon May 27th: Closed

We will resume our regular hours of 7:00am-7:00pm CST on Tues May 28th, Online catalogs and course delivery will be available without interruption.

Compliance Priorities - AML and Cybersecurity

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 that cover:

  • anti-money laundering,
  • cybersecurity and technology,
  • outside business activities and private securities transactions, and
  • books and records.

Learning Objectives

Upon completion of this course, you should understand compliance obligations regarding:

  • anti-money laundering,
  • cybersecurity and technology,
  • outside business activities and private securities transactions, and
  • books and records.

Designed For

This course is designed for Registered Representatives.

Find this course for your license:

License or Certification

Regulator

Type