Khung pháp lýCâu 369 / 398
Under FINRA's continuing education requirements, the Regulatory Element is designed primarily to:
a.Train representatives on new products the firm intends to sell
b.Satisfy state insurance licensing renewals
c.Provide sales and marketing skills training
d.Keep registered persons current on regulatory, compliance, and ethical standards
Giải thích
The Regulatory Element is a FINRA-administered continuing education program that keeps registered persons up to date on regulatory, compliance, and ethical topics. It must be completed annually. The Firm Element is separately administered by each firm and focuses on products, services, and business practices.
Trích dẫn luật: FINRA RulesLuyện miễn phí toàn bộ 398 câu hỏi — không cần đăng ký.
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