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.
FINRA developed, online training courses featuring interactive scenarios, post-course examinations, 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.
Free online video programs that include panel discussions with FINRA staff and/or industry experts. After webinars are aired live, they are available for on-demand access.
"What to Expect" Series
Resources that help compliance professionals understand FINRA's processes.
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.