Financial Industry Regulatory Authority (FINRA)
course

Financial Industry Regulatory Authority (FINRA)

Build an understanding of the functions of arbitration and mediation and the differences between each.

Bankers Academy
Updated Jul 18, 2024

What you'll learn

  • The functions of arbitration and mediation and the differences between each.
  • How FINRA regulates the financial services industry.
  • The purpose of the Communication Rules and FINRA Rule 3310.
Course Description

This course will provide the learner with an introduction to FINRA and its key responsibilities and functions in regulating U.S. securities firms. The course will provide details regarding the history of FINRA and the various rules that it imposes and enforces.