Firm Element FINRA and Back Office Functions (Interactive)

FINRA and Back Office Functions (Interactive)

25.00 25.00


Enroll in Just This Course - $25.00

  • Course Delivery: On Demand
  • Duration: 2

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Course Objectives

Upon completion of this course, the student should be able to:
- List the different departments the back office includes
- Describe the rules that pertain to a successful delivery of a certificate
- Understand the special considerations associated with delivering municipal bonds
- Explain the two different sets of records for which a registered representative is responsible
- Understand the current proposed licensing requirements for back office personnel





End of Course Instructions

Congratulations! You have successfully completed your online course; you may now print your certificate(s) online from your default login page (you may need to refresh this page)


Quiz Information

You will not be required to pass the quizzes to move on to the next lesson.



You will be required to pass the final exam with a 70% in order to receive course credit.

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