Prepublication Review of Research Reports
Managing Conflicts of Interest: Restrictions on Prepublication Reviews
This course focuses on requirements relating to prepublication reviews of research and how such requirements support objective and reliable research.
Private Placement Filings
Making Effective Private Placement Filings
This course reviews filing requirements under FINRA Rule 5123 for private placement documents, the exemptions from the filing requirements and the considerations that investment banking and compliance teams can make to ensure effective filings by their firms.
Political Contributions and Prohibitions on Municipal Securities Business
Identifying Pay-to-Play Prohibitions in Municipal Securities Business
This course covers how political contributions or other payments may affect the work of Municipal Securities Professionals in the securities industry.
Financial and Operational Market Access Controls
Implementing Financial and Operational Market Access Controls
This course addresses the financial and operational requirements of broker-dealers (BDs) providing market access to customers under SEC Rule 15c3-5. It also examines practices the BDs may use to comply with these requirements and continually review and test these systems.
Client Market Access Controls
Setting and Monitoring Client Market Access Controls
This course focuses on how firms’ risk management controls and supervisory procedures—specifically regarding client limits—protect traders, clients, firms and the market.
Communications Issues Relating to AI, Finfluencers and Social Media
Communications Trends: AI, Finfluencers and Social Media
This course examines the application of FINRA communications rules to emerging technologies, including the use of generative AI, engagement with financial influencers and adoption or entanglement with third-party social media content. It also addresses regulatory responsibilities to keep in mind when leveraging these evolving communication channels to ensure compliance with FINRA's communications with the public rules.
Regulation BI’s Care Obligation – Third Component
Reg BI: Evaluating a Series of Recommended Transactions
In this course, learners will apply the SEC’s guidance on evaluating a series of transactions in the context of a customer’s overall financial situation and goals, and review the broker-dealer’s role in ensuring the quantitative component of the Care Obligation is satisfied.
Gifts
Amended Rule Overview: FINRA Rule 3220 (Influencing or Rewarding Employees of Others)
This course provides an overview of the most recent amendments to FINRA Rule 3220 (Influencing or Rewarding Employees of Others) and conforming amendments to additional rules. The amended rules’ effective date is March 30, 2026.
