Restricted Firm Obligations: What You Need to Know

SKU: SEC025

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About This Course

Join FINRA staff as they discuss Rule 4111 (Restricted Firm Obligations). During the session, panelists review the new obligation and criteria for identification.

After attending this session, you will be able to:

  • Review new obligations
  • Identify controls, procedures, and processes that member firms are incorporating to address these obligations
  • Review identification metrics thresholds
  • Discuss restricted deposit accounts

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