Compliance Priorities - Regulatory Events Reporting and Funding Portals and Crowdfunding


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. 

Learning Objectives

Upon completing this course, you should understand compliance obligations regarding:

  • regulatory events reporting
  • funding portals and crowdfunding offerings

Designed For

This course is designed for Registered Representatives 

Find this course for your license:

License or Certification