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 covering AML, cybersecurity, outside business activities and books and records.

Find this course for your license


License or Certification 

 

Regulator 

 

Type 

 


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




Course Information

Adding additional credit may change exam requirements.