This course addresses the financial and operational requirements of broker-dealers (BDs) providing market access to customers under SEC Rule 15c3-5. It also examines practices the BDs may use to comply with these requirements and continually review and test these systems.

This course focuses on how firms’ risk management controls and supervisory procedures—specifically regarding client limits—protect traders, clients, firms and the market.

This course examines the application of FINRA communications rules to emerging technologies, including the use of generative AI, engagement with financial influencers and adoption or entanglement with third-party social media content. It also addresses regulatory responsibilities to keep in mind when leveraging these evolving communication channels to ensure compliance with FINRA's communications with the public rules. 

In this course, learners will apply the SEC’s guidance on evaluating a series of transactions in the context of a customer’s overall financial situation and goals, and review the broker-dealer’s role in ensuring the quantitative component of the Care Obligation is satisfied.

This course provides an overview of the most recent amendments to FINRA Rule 3220 (Influencing or Rewarding Employees of Others) and conforming amendments to additional rules. The amended rules’ effective date is March 30, 2026.