Compliance Priorities - Regulatory Events Reporting and Funding Portals and Crowdfunding

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 regulatory events reporting and funding portals and crowdfunding offerings. 

Find this course for your license


License or Certification 

 

Regulator 

 

Type 

 


Objectives

  • understand compliance obligations regarding regulatory events reporting
  • recognize compliance requirements for funding portals and crowdfunding offerings

Designed For:

Registered Representatives 




Course Information

Adding additional credit may change exam requirements.