Prohibition on Borrowing From or Lending To Customers
Amended Rule Overview: Rule 3240 (Prohibition on Borrowing From or Lending to Customers)
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.
T + 1
Amended Rules: Clearance and Settlement Under T + 1
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.
Trading Restrictions on Research Analysts
Trading Restrictions on Research Analysts
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.
Distributions and Restricted Periods Under Regulation M
Providing Pricing Integrity: Responsibilities Under Reg M
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.
Regulation SHO
Short Sale Essentials: Reg SHO Requirements
This course reviews the regulatory obligations for individuals entering short orders and examines the red flags of manipulative behavior related to these trades.
Customer Account Transfers Under MSRB Rule G-26
Municipal Securities Customer Account Transfers
This course reviews MSRB Rule G-26, which outlines the requirements governing the transfer of municipal securities and establishes a standardized process among firms.
Institutional Options Communications
Managing Institutional Options Communications
This course focuses on approval, distribution and recordkeeping requirements for institutional options communications.
Supervisory Considerations for Unapproved Communication Methods
Ensuring Teams Communicate Compliantly
This course gives learners the opportunity to practice applying supervisory considerations related to unapproved communication methods.
Unapproved Communication Methods
Communicating Compliantly
In this course, learners will explore why it’s critical to use firm communication tools appropriately and how they can communicate compliantly.
Customer Screening
Customer Screening Overview
This course explores how successful customer screening—including recognizing and reporting suspicious activity—helps registered representatives maintain accurate records and prevent financial crimes.
Regulation BI’s Care Obligation – First Component
Reg BI: Understanding the Investment or Investment Strategy
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.
