Education Through Collaboration

FINRA E-Learning

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

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FINRA E-Learning Course Pricing

  • Individual – $12.50 per course (access for one year)
  • Full Library – $45.00 for over 110 FINRA e-learning courses, plus any new courses released during the year (access for one year)

Group Registration*

Register as a group administrator. This registration allows for multiple user accounts, supervisor reporting and administrative capabilities.

*Current subscribers can access CE courses via their regular AI Insight account.