Customer Screening

This course explores how successful customer screening—including recognizing and reporting suspicious activity—helps registered representatives maintain accurate records and prevent financial crimes. 

Estimated Completion Time: 15 Minutes

Regulation BI’s Care Obligation – First Component

This course focuses on the first component of SEC Regulation BI’s Care Obligation: the obligation to understand the investment or investment strategy being recommended (“Reasonable Basis”).

In this course, learners will apply the SEC's guidance on understanding an investment or investment strategy and explore effective practices for ensuring that registered persons understand the investment or investment strategy.

Estimated Completion Time: 15 Minutes

2017055087003 Merrill Lynch, Pierce, Fenner & Smith, Incorporated CRD 7691 and BofA Securities, Inc. CRD 283942 AWC lp (2024-1727482819220).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2017055087003 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Merrill Lynch, Pierce, Fenner & Smith, Incorporated, CRD No. 7691, and BofA Securities, Inc., CRD No. 283942 Respondents Pursuant to FINRA Rule 9216, Respondents Merrill Lynch, Pierce, Fenner & Smith, Incorporated ("Merrill") and BofA Securities, Inc.

2023078946501 Richard Davalos CRD 7194114 AWC lp (2024-1727482812948).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023078946501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Richard Celis Davalos (Respondent) Former General Securities Representative CRD No. 7194114 Pursuant to FINRA Rule 9216, Respondent Richard Celis Davalos submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2018056490314 Kieran J. Loughran CRD 2826208 AWC lp (2024-1727482813249).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018056490314 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Kieran J. Loughran (Respondent) Former General Securities Representative CRD No. 2826208 Pursuant to FINRA Rule 9216, Respondent Kieran J. Loughran submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
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