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Features of FINRA E-Learning Courses

FINRA e-learning courses are 20- to 30-minute interactive online courses that offer an affordable and convenient solution for Firm Element and other training. Courses are available for retail registered representatives, institutional registered representatives, operations professionals, wholesalers and compliance professionals.

Course Content

Courses are generally comprised of three parts:

  • Core Concepts – The first section identifies the rules and regulations that industry professionals must follow with regard to the subject matter of the course, and explains how those rules and regulations apply on the job.
  • Scenarios – The second section applies the core concepts to common compliance situations and demonstrates how industry professionals should address similar situations should they arise on the job.
  • Post-Course Examinations/Assessments – Finally, the user may take a separate, optional multiple-choice examination to test his or her knowledge of the course content.

Users are presented with activities and decision points throughout each course to help them apply their knowledge and test their understanding of the subject-matter.

Download the E-Learning Course Catalog .

for information about individual courses.