This courses provides an overview of AML rules as well as a review of violations and the consequences of those violations. The material is supported with references to FINRA and SEC disciplinary actions. This course is geared toward registered representatives with a wholesaler client base.

Students who successfully complete this course will be able to:

• understand AML rules and regulations
• understand AML reporting obligations
• identify the consequences for violating the AML rules and regulations 

Wholesalers