This course provides an overview of the most recent amendments to FINRA Rule 3240 (Prohibition on Borrowing From or Lending to Customers). The amended rule’s effective date is April 28, 2025.

This course reviews rule changes related to the recent transition to T + 1 settlement. It also discusses best practices to help firms comply with these changes and prevent fails to deliver of securities.

This course focuses on research analyst account trading restrictions and limitations. It also provides information about the type of securities accounts and individuals that are subject to these restrictions and limitations.

This course explains how to identify a distribution under SEC Regulation M’s Rule 101 and how to comply with the applicable restricted period, including providing notification to FINRA.

This course reviews the regulatory obligations for individuals entering short orders and examines the red flags of manipulative behavior related to these trades.

This course reviews MSRB Rule G-26, which outlines the requirements governing the transfer of municipal securities and establishes a standardized process among firms.

This course focuses on approval, distribution and recordkeeping requirements for institutional options communications.