Compliance Priorities - OBAs, PSTs and Books and Records

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:

  • outside business activities and private securities transactions, and
  • books and records.

Learning Objectives

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

  • 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