FINRA: Books and Records

Overview

This course explains the obligations of registered persons to maintain records of actions undertaken in their capacity as representatives of the firm. Scenarios illustrate and reinforce compliance with recordkeeping and retention requirements when electronic media are involved.

Find this course for your license


License or Certification 

 

Regulator 

 

Type 

 

Objectives

  • understand the applicable SEC and FINRA books and records requirements.
  • know how to maintain a complete and accurate books and records in securities industry.
  • understand how to adhere to the regulations and your firm's guidance when conducting your business.

Designed For:

All registered representatives and registered principals




Course Information

Adding additional credit may change exam requirements.

Powered By WebCE

At WebCE, we are passionate about delivering exceptional professional development solutions. With world-class customer support and education to serve multiple professions, we're here to help professionals reach their career goals.

Quick Links
Contact Us
Catalog
Business Solutions
Blog
Special Offers
All Products
Information
Privacy
Business Continuity
Accessibility
Sitemap
Terms
Do Not Sell or Share My Information
Resources
Licensing Requirements
Our Story
Our Technology & AI
Careers
Technical Requirements
FAQs

Copyright ©1992-2024 WebCE®. All Rights Reserved.

S2-31