FINRA: AML—Books and Records for Operations Professionals

Overview

This course is designed to help operations professionals understand their books and records obligations when conducting firm business. Scenarios emphasize the importance of adhering to regulatory recordkeeping and retention requirements and firm-specific guidance.

Find this course for your license


License or Certification 

 

Regulator 

 

Type 

 


Objectives

  • generally explain your firm’s regulatory books and records requirements
  • describe their role in adhering to your firm’s regulatory books and records requirements
  • discuss the consequences of failing to meet your firm’s regulatory books and records requirements

Designed For:

Operations professionals




Course Information

Adding additional credit may change exam requirements.