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AML-Wholesaler: Refresher, Findings, and Reminder

Overview

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.

Find this course for your license


License or Certification 

 

Regulator 

 

Type 

 

Learning Objectives

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


Designed For:

Wholesaler registered representatives and other finance professionals




Course Information

Adding additional credit may change exam requirements.

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