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.
Learning Objectives
- understand compliance obligations regarding regulatory events reporting
- recognize compliance requirements for funding portals and crowdfunding offerings
Designed For
Registered Representatives
Find this course for your license:
License or Certification
Regulator
Type