FINRA's suite of more than 80 e-learning courses offers an affordable solution for Firm Element, AML training and other compliance education—developed by FINRA with input from industry experts. Courses cover the following topics and more.
Anti-Money Laundering
Communications With the Public
Ethics
Insurance and Annuities Products
Sales Practice Obligations
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Proposed Rule Change to Adopt FINRA Rule 0151 (Coordination with the MSRB) and Amend FINRA Rule 0150 (Application of Rules to Exempted Securities Except Municipal Securities)
TRACE Monthly Volume Report for 2016
WASHINGTON — The Securities and Exchange Commission and the Financial Industry Regulatory Authority (FINRA) today announced the opening of registration for their 2016 Regional Compliance Outreach Programs for Broker-Dealers that will take place in New York, Atlanta, Dallas, Boston, Chicago, and San Francisco, beginning in the spring.
The SEC's Office of Compliance Inspections and
