FINRA Compliance

The Financial Industry Regulatory Authority is the largest independent securities regulator in the US. FINRA's compliance courses are designed to create an environment of transparency and accountability in the industry and its practitioners. 360training.com's FINRA compliance courses covered: Back office functions, communication standards, supervisory controls and provisions, understanding FINRA rules, compliance issues for investment bankers, business activities, and many others.

Course Name Course Delivery Credit Hours Credit Type Price QTY

*indicates Course Duration. This Course is not for Credit Hours.

Red Flags for Seniors (Interactive)
On Demand
*2  $30.00 Add to Cart
Understanding the Regulation of Electronic Communication (Interactive)
On Demand
*2  $30.00 Add to Cart
Understanding the Rules of FINRA (Interactive)
On Demand
*2  $30.00 Add to Cart
Unit Investment Trusts (Interactive)
On Demand
*2  $30.00 Add to Cart
Private Placement Securities - Advanced
On Demand
*2  $30.00 Add to Cart
Coping with SEC Rule 151A
On Demand
*2  $30.00 Add to Cart
Advanced Supervision (Interactive)
On Demand
*2  $30.00 Add to Cart
FINRA Communication Standards
On Demand
*2  $30.00 Add to Cart
Variable Annuities for Supervisors (Interactive)
On Demand
*2  $30.00 Add to Cart
Municipal Securities: Sales Practices and Supervisory Requirements (Interactive)
On Demand
*2  $30.00 Add to Cart
Institutional Communication and Advertising
On Demand
*2  $30.00 Add to Cart
The SEC's Books and Records Requirements - The Basics
On Demand
*1  $30.00 Add to Cart
Gifts, Gratuities and Regulation (Interactive)
On Demand
*1  $30.00 Add to Cart
Variable Annuities: Advanced (Interactive)
On Demand
*2  $30.00 Add to Cart
Options Communications Rules (Interactive)
On Demand
*2  $30.00 Add to Cart
Do Not Call & the Securities Industry
On Demand
*2  $30.00 Add to Cart
Brokerage, Mutual Fund and Variable Product Sales Practices (Interactive)
On Demand
*2  $30.00 Add to Cart
Introduction to Research Analysts: Rule 2711 and Professional Responsibility (Interactive)
On Demand
*2  $30.00 Add to Cart
The Dodd-Frank Wall Street Reform and Consumer Protection Act (Interactive)
On Demand
*2  $30.00 Add to Cart
Outside Business Activities (Interactive)
On Demand
*1  $30.00 Add to Cart
Communication with the Public - Supervisory Level (Interactive)
On Demand
*2  $30.00 Add to Cart
Advertising - Financial Professionals (Interactive)
On Demand
*2  $30.00 Add to Cart
Protecting Senior Investors (Interactive)
On Demand
*2  $30.00  $0.00 Add to Cart
Wrap Fee Accounts (Interactive)
On Demand
*2  $30.00 Add to Cart
FINRA and Back Office Functions (Interactive)
On Demand
*2  $30.00 Add to Cart
Variable Annuities – General (Interactive)
On Demand
*2  $30.00 Add to Cart
Compliance Issues for Investment Bankers (Interactive)
On Demand
*2  $30.00 Add to Cart
Vulnerable Clients: Identity Theft and Financial Exploitation (Interactive)
On Demand
*2  $30.00 Add to Cart
Outside Business Activities: Regulation and Supervision (Interactive)
On Demand
*2  $30.00 Add to Cart
Communication with the Public for the Registered Rep (Interactive)
On Demand
*1  $30.00 Add to Cart
Supervisory Controls and Procedures under NASD Rules 3010, 3012 and FINRA Rule 3130 (Interactive)
On Demand
*2  $30.00 Add to Cart
Social Media in a Business Environment (Interactive)
On Demand
*2  $30.00 Add to Cart