Compliance Priorities - Municipal Securities and Trusted Contacts

Overview

Each year, FINRA provides firms with the information they may need to include in their compliance programs. This compliance course will provide an overview of the rules and obligations of firm operations covering firm short positions and fails to receive in municipal securities and trusted contacts and positions of trust.

Find this course for your license


License or Certification 

 

Regulator 

 

Type 

 


Objectives

  • understand compliance obligations regarding firm short positions and fails to receive in municipal securities
  • recognize the importance and requirements of trusted contacts

Designed For:

Registered Representatives 




Course Information

Adding additional credit may change exam requirements.