{"product_id":"finra","title":"FINRA","description":"\u003cdiv class=\"ebsi-team-licence-note\"\u003e\u003cp\u003e\u003cstrong\u003eBuying for a team?\u003c\/strong\u003e\u003cbr\u003eChoose 5 or 10 licences to purchase access for multiple learners at a reduced per-person rate. After purchase, eBSI will contact you to confirm the learner details and arrange course access for each participant.\u003c\/p\u003e\u003c\/div\u003e\n\u003c!-- ebsi-sales-wrapper --\u003e\u003cdiv class=\"ebsi-sales-wrapper\"\u003e\n\u003cp\u003e\u003cstrong\u003eDevelop practical knowledge and confidence in FINRA.\u003c\/strong\u003e\u003c\/p\u003e\n\u003cp\u003eThis course will provide the learner with an introduction to FINRA and its key responsibilities and functions in regulating U.S. securities firms. The course will provide details regarding the history of FINRA and the various rules that it imposes and enforces. After completing this course, the learner will understand:\u003c\/p\u003e\n\u003ch3\u003eWhy this course matters\u003c\/h3\u003e\n\u003cp\u003eThis course turns the subject into practical, structured learning you can apply in real business and workplace situations. It is designed to help you move beyond definitions and understand how the ideas, tools and decisions covered in the course fit together.\u003c\/p\u003e\n\u003ch3\u003eWhat you will gain\u003c\/h3\u003e\n\u003cul\u003e\n\u003cli\u003eBuild a practical understanding of the key concepts covered in FINRA.\u003c\/li\u003e\n\u003cli\u003eRecognise where the topic applies in real workplace or business situations.\u003c\/li\u003e\n\u003cli\u003eApply the methods and good-practice approaches covered in the course with greater confidence.\u003c\/li\u003e\n\u003c\/ul\u003e\n\u003ch3\u003eWho is this course for?\u003c\/h3\u003e\n\u003cp\u003eThis course is suitable for professionals, managers, business owners and learners who want practical knowledge they can apply in real workplace situations.\u003c\/p\u003e\n\u003ch3\u003eCourse at a glance\u003c\/h3\u003e\n\u003cul\u003e\n\u003cli\u003e\n\u003cstrong\u003eStudy time:\u003c\/strong\u003e approximately 2 hours.\u003c\/li\u003e\n\u003cli\u003e\n\u003cstrong\u003eFormat:\u003c\/strong\u003e self-paced online learning.\u003c\/li\u003e\n\u003cli\u003e\n\u003cstrong\u003eProfessional development:\u003c\/strong\u003e CPD course.\u003c\/li\u003e\n\u003c\/ul\u003e\n\u003c\/div\u003e\n\u003cp data-mce-fragment=\"1\"\u003e\u003cu\u003e\u003cstrong\u003eCourse\u003cspan\u003e Outline\u003c\/span\u003e\u003c\/strong\u003e\u003c\/u\u003e\u003c\/p\u003e\n\u003cp data-mce-fragment=\"1\"\u003eSeat Time: 1.5hrs - Desc:\u003c\/p\u003e\n\u003cp data-mce-fragment=\"1\"\u003eThis course will provide the learner with an introduction to FINRA and its key responsibilities and functions in regulating U.S. securities firms. The course will provide details regarding the history of FINRA and the various rules that it imposes and enforces. After completing this course, the learner will understand:\u003c\/p\u003e\n\u003cul data-mce-fragment=\"1\"\u003e\n\u003cli data-mce-fragment=\"1\"\u003eThe functions of arbitration and mediation and the differences between each.\u003c\/li\u003e\n\u003cli data-mce-fragment=\"1\"\u003eHow FINRA regulates the financial services industry.\u003c\/li\u003e\n\u003cli data-mce-fragment=\"1\"\u003eThe purpose of the Communication Rules and FINRA Rule 3310.\u003c\/li\u003e\n\u003c\/ul\u003e\n\u003cp\u003e\u003cu\u003e\u003cstrong\u003eCourse Topics\u003c\/strong\u003e\u003c\/u\u003e\u003cbr\u003e\u003c\/p\u003e\n\u003cp\u003e\u003cstrong\u003eT1. FINRA:\u003c\/strong\u003e This topic will educate the learner on the purpose and key responsibilities of FINRA, its mission statement, functions, investor protection and education, and broker-dealer registration.\u003c\/p\u003e\n\u003cp\u003e\u003cstrong\u003eT2. FINRA History: \u003c\/strong\u003eThis topic will educate the learner regarding the circumstances that led to the inception of the National Association of Securities Dealers (NASD), details surrounding the launch of the National Association of Securities Dealers Automated Quotations (NASDAQ) stock market, recent developments pertaining to the NASD and the NASDAQ, and information regarding the Securities and Exchange Commission (SEC) approving of the formation of a new self-regulatory organization to succeed the NASD.\u003c\/p\u003e\n\u003cp\u003e\u003cstrong\u003eT3. Arbitration and Mediation:\u003c\/strong\u003e This topic will disseminate information to the learner regarding FINRA and the securities court system, details surrounding mediation proceedings, how arbitration proceedings are conducted and what arbitrators are authorized to do, and alternate avenues of complaint.\u003c\/p\u003e\n\u003cp\u003e\u003cstrong\u003eT4. FINRA and the Financial Services Industry:\u003c\/strong\u003e This topic will educate the learner regarding FINRA's responsibilities to the financial services industry, FINRAÆs authority to enforce its regulations and decisions, and details surrounding the Central Information Depository (CID) and its reports.\u003c\/p\u003e\n\u003cp\u003e\u003cstrong\u003eT5. Communication Rules:\u003c\/strong\u003e This topic will disseminate information to the learner regarding FINRA rule 2210, Regulatory Notice 12-29, requirements of broker-dealers pertaining to preservation of certain records, requirements of NASD Rule 3010, spot check data feeds, and requirements of NASD Rule 2310 regarding suitability.\u003c\/p\u003e\n\u003cp\u003e\u003cstrong\u003eT6. FINRA Rule 3310:\u003c\/strong\u003e This topic will educate the learner regarding FINRA Rule 3310, the requirements of firms under the rule, changes to firmsÆ AML programs, details surrounding the FINRA Contact System (FCS), NASD Rule 1160, Customer Identification Program (CIP) notices, and other relevant information that a corporation, partnership, trust, or other legal entity may need to provide.\u003c\/p\u003e\n\u003c!-- ebsi-cross-sell --\u003e\u003cdiv class=\"ebsi-cross-sell\"\u003e\n\u003ch3\u003eContinue your learning\u003c\/h3\u003e\n\u003cp\u003e\u003cstrong\u003ePart of this learning pathway:\u003c\/strong\u003e \u003ca href=\"\/collections\/bankers-academy-compliance-regulatory\"\u003eCompliance \u0026amp; Regulatory\u003c\/a\u003e\u003c\/p\u003e\n\u003c\/div\u003e\n\u003c!-- ebsi-academy-breadcrumb --\u003e\n\u003chr\u003e\u003cdiv class=\"ebsi-course-pathway\"\u003e\n\u003cp\u003e\u003cstrong\u003eCourse pathway:\u003c\/strong\u003e \u003ca href=\"\/pages\/welcome-to-ebsi-banking-academy\"\u003eeBSI Banking Academy\u003c\/a\u003e \u0026gt; \u003ca href=\"\/collections\/bankers-academy-compliance-regulatory\"\u003eCompliance \u0026amp; Regulatory\u003c\/a\u003e \u0026gt; FINRA\u003c\/p\u003e\n\u003cp\u003eExplore more \u003ca href=\"\/collections\/bankers-academy-compliance-regulatory\"\u003eCompliance \u0026amp; Regulatory\u003c\/a\u003e training or return to the \u003ca href=\"\/pages\/welcome-to-ebsi-banking-academy\"\u003eeBSI Banking Academy\u003c\/a\u003e.\u003c\/p\u003e\n\u003c\/div\u003e","brand":"Bankers Academy","offers":[{"title":"Individual Licence (EUR 60)","offer_id":40218183172274,"sku":"BA-104","price":66.0,"currency_code":"USD","in_stock":true},{"title":"5 Licences (EUR 50 each)","offer_id":59260499231068,"sku":null,"price":275.0,"currency_code":"USD","in_stock":true},{"title":"10 Licences (EUR 40 each)","offer_id":59260499263836,"sku":null,"price":440.0,"currency_code":"USD","in_stock":true}],"thumbnail_url":"\/\/cdn.shopify.com\/s\/files\/1\/0077\/7604\/3071\/products\/BA-104FINRACOVER.png?v=1622829648","url":"https:\/\/www.ebsiamericas.com\/products\/finra","provider":"eBSI Export Academy","version":"1.0","type":"link"}