Online Learning

FINRA's online learning programs address a range of training topics for compliance personnel, registered representatives, administrative and operations staff, and those with supervisory responsibilities. Some of our programs offer completion tracking and deliver virtual compliance training that may be suitable for firm element continuing education.

 

E-Learning Courses
FINRA developed, online training courses featuring interactive scenarios, optional post-course assessments, real-time completion tracking and certificates of completion. FINRA also offers a library of Regulatory Element Program Scenarios (formerly known as netCEP). 

 

E-Learning courses are SCORM1 compliant and may be suitable for firm element and other compliance training or simply to remain current on key compliance issues.

Webinars
Live panel presentations that allow compliance professionals to listen to and interact with industry and regulatory experts without leaving their desks. After webinars are aired live, they are available on demand for access anytime, anywhere.

Webcasts 
Streaming videos for frontline staff, plus the "What to Expect" Webcast Series, which helps compliance professionals understand FINRA's processes. Select webcasts are now available as e-learning courses.

Compliance Podcasts
FINRA podcasts are short online audio recordings that highlight news, regulatory updates and other compliance topics.


Questions or Comments? Contact Us

 

 

1 SCORM, the Sharable Content Object Reference Model, is a technical specification that governs how online training (or “e-learning”) in created and delivered to learners.

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