Broker-dealer Compliance Management

What You Will Learn

• 1 Learn the foundational principles of broker-dealer regulation, including the roles of the SEC and FINRA and key federal securities laws.
• 2 Understand how to navigate registration and licensing requirements for both firms and individuals, including process steps and continuing education.
• 3 Apply anti-money laundering (AML) and know-your-customer (KYC) compliance frameworks, including suspicious activity reporting and risk assessment.
• 4 Analyze sales practice and suitability rules, including the duty to recommend suitable products and detect churning.
• 5 Create advertising and marketing compliance programs aligned with FINRA Rule 2210, covering traditional and digital communications.
• 6 Implement supervision and surveillance systems to detect and prevent trading abuses and regulatory violations.
• 7 Develop financial responsibility policies in line with net capital requirements, customer protection, and recordkeeping rules.
• 8 Evaluate recordkeeping and reporting obligations under the Securities Exchange Act, including electronic storage and blue sky filings.
• 9 Prepare for regulatory examinations and respond to enforcement actions, including internal investigations and arbitration.
• 10 Apply ethical standards and best execution policies to manage conflicts of interest, insider trading, and compensation structures.