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American College CE

Compliance Highlights Vol. 9

Overview

This course provides an overview of the compliance obligations outlined by the recent Report on FINRA's Annual Regulatory Oversight Report. Firms and their representatives must be well-versed on these topics and incorporate recommended procedures and practices into their business models. 

Summary Details

Hours

0.5

Price

$12.95
Ratings Pending   (0 Ratings)





Learning Objectives

  • identify compliance obligations regarding procedures and practices
  • understand FINRA examination priorities
  • implement FINRA risk monitoring and best practice recommendations


Designed For:

Registered representatives 



Course Information

Adding additional credit may change exam requirements.

Access Period: 12 months
Prerequisites: None
Delivery Method: Self-Study
PDF Download: Not Available
Provider of Record: WebCE
Last Reviewed: February 2024
Study Level: Intermediate
Approved For: General

Exam

Proctor: No
Passing Grade: 70
Questions: 5
Retakes: Unlimited


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