FINRA Compliance

Banking & Financial Compliance
FINRA Compliance

The Financial Industry Regulatory Authority is the largest independent securities regulator in the US. FINRA’s compliance courses are designed to create an environment of transparency and accountability in the industry and its practitioners. FINRA compliance courses covered: Back office functions, communication standards, supervisory controls and provisions, understanding FINRA rules, compliance issues for investment bankers, business activities, and many others.

Course Name Credit Hours Price Enroll Now
Advanced Supervision (Interactive) 2 hrs $50.00 Enroll Now
Advertising – Financial Professionals (Interactive) 2 hrs $50.00 Enroll Now
Brokerage, Mutual Fund and Variable Product Sales Practices (Interactive) 2 hrs $50.00 Enroll Now
Communication with the Public – Supervisory Level (Interactive) 2 hrs $50.00 Enroll Now
Communication with the Public for the Registered Rep (Interactive) 1 hrs $50.00 Enroll Now
Compliance Issues for Investment Bankers (Interactive) 2 hrs $50.00 Enroll Now
Coping with SEC Rule 151A 2 hrs $50.00 Enroll Now
Do Not Call & the Securities Industry 2 hrs $50.00 Enroll Now
FINRA and Back Office Functions (Interactive) 2 hrs $50.00 Enroll Now
FINRA Communication Standards 2 hrs $50.00 Enroll Now
Gifts, Gratuities and Regulation (Interactive) 1 hrs $50.00 Enroll Now
Institutional Communication and Advertising 2 hrs $50.00 Enroll Now
Introduction to Research Analysts: Rule 2711 and Professional Responsibility (Interactive) 2 hrs $50.00 Enroll Now
Municipal Securities: Sales Practices and Supervisory Requirements (Interactive) 2 hrs $50.00 Enroll Now
Options Communications Rules (Interactive) 2 hrs $50.00 Enroll Now
Outside Business Activities (Interactive) 1 hrs $50.00 Enroll Now
Outside Business Activities: Regulation and Supervision (Interactive) 2 hrs $50.00 Enroll Now
Private Placement Securities – Advanced 2 hrs $50.00 Enroll Now
Protecting Senior Investors (Interactive) 2 hrs $50.00 Enroll Now
Red Flags for Seniors (Interactive) 2 hrs $50.00 Enroll Now
Supervisory Controls and Procedures under NASD Rules 3010, 3012 and FINRA Rule 3130 (Interactive) 2 hrs $50.00 Enroll Now
The Dodd-Frank Wall Street Reform and Consumer Protection Act (Interactive) 2 hrs $50.00 Enroll Now
The SEC’s Books and Records Requirements – The Basics 1 hrs $25.00 Enroll Now
Understanding the Regulation of Electronic Communication (Interactive) 2 hrs $50.00 Enroll Now
Understanding the Rules of FINRA (Interactive) 2 hrs $50.00 Enroll Now
Unit Investment Trusts (Interactive) 2 hrs $50.00 Enroll Now
Variable Annuities for Supervisors (Interactive) 2 hrs $50.00 Enroll Now
Variable Annuities – General (Interactive) 2 hrs $50.00 Enroll Now
Variable Annuities: Advanced (Interactive) online 8* hrs $50.00 Enroll Now
Vulnerable Clients: Identity Theft and Financial Exploitation (Interactive) 2 hrs $50.00 Enroll Now
Wrap Fee Accounts (Interactive) 2 hrs $50.00 Enroll Now