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: Annual Compliance Reminders for Registered Representatives – Vol. 8
This course uses scenarios adapted from actual FINRA disciplinary actions to remind registered representatives about their compliance obligations. Volume 8 covers cybersecurity, Form U4 disclosures, insider trading and private securities transactions. The course is eligible for 0.5 CFP CE credits.
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.