FINRA e-learning courses offer an affordable solution for Firm Element and anti-money laundering (AML) training. Firms trust FINRA’s e-learning library for firm-wide training on securities rules and regulations and how to practically apply them on the job.
Developed for registered representatives, supervisors, operations professionals, wholesalers, compliance personnel and other employees, FINRA e-learning modules are 20- to 30-minute interactive courses that lead users through common compliance situations and include scenarios to help make sure course content is understood.
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 subject matter, 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 on the job.
- Post-Course Examinations/Assessments – Finally, the user may take a separate, optional multiple-choice examination to test his or her knowledge of course content.
FINRA e-learning courses cover a wide range of compliance topics, including:
- 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