Books and Records (ELC131)
This course explains SEC and NASD rules governing recordkeeping and retention of customer account records, memoranda, correspondence, communications and other documentation. Learners review the obligations of registered persons to maintain records of actions undertaken in their capacity as representatives of the firm. Realistic scenarios illustrate and reinforce compliance with recordkeeping and retention requirements when electronic media is involved.
Course Highlights
This online course leads participants through a series of scenarios, asks them to make decisions, shows correct and incorrect answers and then prompts them to complete and pass an optional mastery test at the end of the course.
Review the course outline.
Purchase Options
- Individual Course
Purchase this course at a FINRA-member rate of $12.50 per course, per user, or at a non-member rate of $25 per course, per user.
- Individual Library Subscription
If you are considering purchasing three or more courses, a Library Subscription may be the most cost-effective option. The Library Subscription grants you access to FINRA's entire growing library of e-learning courses, including all newly released courses, for a period of one year from the date of the subscription purchase. The Library Subscription FINRA-member rate is $45 per user, and the non-member rate is $90 per user.
- Group Purchases and Unlimited-Use Site Licenses
FINRA also offers Group Purchases and Unlimited-Use Site Licenses for two or more users.
Note: A user name and password will be emailed within 48 hours of receipt of payment.
For more information, please call (212) 858-4119 or send us an email.
