FINRA e-learning courses offer an affordable solution for Firm Element, CFP® CE credit, and anti-money laundering (AML) training.
Firms trust FINRA’s e-learning modules for training on securities rules and regulations and how to practically apply them on the job. The modules are 30- to 100-minutes long and lead users through common compliance situations.
Courses are generally comprised of three parts:
- Core Concepts – The first section identifies rules and regulations that industry professionals must follow with regards to the topic, and explains how those rules and regulations apply on the job.
- Scenarios – The second section applies core concepts to common compliance situations and demonstrates how industry professionals should address similar situations should they arise.
- Post-Course Examinations/Assessments – Users may take a separate, optional multiple-choice exam to test his or her knowledge.
FINRA e-learning courses cover a wide range of compliance topics, including:
- *New* Regulation Best Interest
- Anti-Money Laundering
- Books and Records
- Business Conduct, including Conflicts of Interest and Ethics
- Communications with the Public, including Social Media
- Fraud Detection and Prevention
- Insurance and Annuity Products
- Sales Practices, including Senior Investor Sales Practice Issues
- Securities Products
- Suitability and Know Your Customer Obligations
- Trading Practices
