Purchase FINRA E-Learning Courses and Library Subscriptions
FINRA's e-learning library and individual courses offer training on a range of compliance topics, including anti-money laundering, variable annuities and ethics.
New Courses:
2022 Annual Compliance Review
This course aims to help learners understand registered persons’ compliance obligations through scenarios based on real enforcement actions such as: OBA; gifts and gratuities; fair prices and commissions; borrowing from customers; etc.
2023 Annual Compliance Review
This course aims to help learners understand registered persons’ compliance obligations through scenarios based on real enforcement actions such as: filing timely and accurate information; maintaining books and records; making business-related statements; avoiding unauthorized trading; etc.
2023 Annual Industry Priorities Review
This course highlights select industry priorities and familiarizes learners with resources and methods for staying current on their own such as: trusted contact person; regulatory events reporting; private placements; communications with the public; best execution; market access; segregation of assets and customer protection; etc.
Ethical Decision Making
This course instructs learners on the importance of acting ethically and what to do if they see unethical behavior in the workplace. It also explains how to recognize and mitigate ethical dilemmas in the financial industry through real world examples.
Form U4: A Tool for Transparency
This course provides important reminders regarding the obligations that individuals have with Form U4 throughout different phases of their careers and proactive steps they can take to meet this obligation.
Identifying and Escalating Customer Complaints
This course will highlight the role that registered representatives (RRs) play in properly identifying and escalating customer complaints. In this context, the course will explore considerations related to identifying and escalating customer complaints and will then review scenarios that highlight some common errors in these areas, along with the potential ramifications for both RRs and firms. The course will also review what happens to a complaint once it is reported to FINRA and then delve into the greater framework of FINRA rules in order to understand the regulatory landscape in which these requirements take place.
Prohibited Conduct in Customer Relationships
This course aims to provide a high-level awareness of certain prohibited practices surrounding customer relationships. The course addresses a wide range of job functions and registrations by taking a thematic approach to identifying and analyzing certain prohibited practices related to fair dealing with customers, particularly surrounding: unauthorized account activity; excessive trading and churning; communications standards; and misuse of material nonpublic information (MNPI).
To purchase a course or library subscription, visit any of the following Firm Element training vendors.
Purchasing for a Large Group of Employees (1,500+)?
If purchasing training for 1,500 or more employees, a site license may be the best option. A site license allows you to provide some or all of FINRA’s e-learning courses through your firm’s learning management system to an unlimited number of employees for an annual fee. Call (800) 321-6273 or email FINRA E-Learning to learn more.
Note: Use of FINRA's e-learning courses does not guarantee compliance with regulatory requirements or create a safe harbor from regulatory responsibilities.