Purchase FINRA E-Learning Courses and Library Subscriptions
FINRA's e-learning library and individual courses offer training on a range of compliance topics, including anti-money laundering, variable annuities and ethics.
New Course: Compliance Reminders for Supervisors
This course uses scenarios to remind supervisors of their obligations when overseeing registered representatives. It covers several areas including reviews of correspondence, transactions, outside business activities, private securities transactions and Form U4 disclosures.
To purchase a course or library subscription, visit any of the following Firm Element training vendors.
Purchasing for a Large Group of Employees (1,500+)?
If purchasing training for 1,500 or more employees, a site license may be the best option. A site license allows you to provide some or all of FINRA’s e-learning courses through your firm’s learning management system to an unlimited number of employees for an annual fee. Call (800) 321-6273 or email FINRA E-Learning to learn more.
Note: Use of FINRA's e-learning courses does not guarantee compliance with regulatory requirements or create a safe harbor from regulatory responsibilities.