Overview
This course uses scenarios adapted from actual FINRA disciplinary actions to remind registered representatives about their compliance obligations. Volume 9 covers cybersecurity, ethics, financial exploitation of seniors, outside business activities and private securities transactions, professional designations and suitability, and 529 savings plans.
Learning Objectives
Upon completion of this course, students should be able to:
- identify common regulatory requirements
- meet your compliance obligations as you go about your daily business
- recognize the potential consequences of failing to comply with your firm’s policies and FINRA’s rules
Designed For
All registered representatives
Find this course for your license:
License or Certification
Regulator
Type