Online Learning

FINRA's online programs address a range of training and information for compliance personnel, registered representatives, administrative and operations staff, and those with supervisory responsibilities. Some of our programs deliver virtual compliance training that may be suitable for Firm Element continuing education.

  • E-Learning Courses - 20 to 30-minute online courses for Firm Element, AML and other training primarily designed for registered representatives.
  • Webinars - Free online video programs that include panel discussions with FINRA staff and/or industry experts.
  • "What to Expect" Series - Resources that help compliance professionals understand FINRA's processes.
  • FINRA Unscripted - We bring together FINRA leaders to discuss existing and emerging regulatory topics that impact the broker-dealer industry. We share best practices for compliance officers, insights into the operations of a 3,500 person self-regulated organization and educational tools and information for investors.
  • A Few Minutes With FINRA - Brief video segments in which senior FINRA staff discuss timely regulatory topics and respond to comments from firms on specific areas of concern.
  • The Small Firm Report - A free conference call series hosted by senior FINRA leaders who discuss trending topics, new rules and regulatory guidance and best practices.