Restricted Firm Obligations: What You Need to Know

CLE Courses Available on DVDs, Audio CDs, USB Stick, Online & iOS/Android App and Live Webinars!

Course Media Options

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

Lecturers for this Course

Spend less and get more

Get the courses that you need and the forms completed in days — not weeks or months.

Feature Ribbon Icon
CLE Manager on a headset

Dedicated CLE Manager

Quality help from a responsive CLE expert dedicated to assisting you.

Feature Ribbon Icon
A wall of media options

Riveting Content & an Exceptional Library

Experience outstanding presenters.

Feature Ribbon Icon
Customer viewing progress on a computer

Free Customized CLE Tracker

Keep crystal clear records of your courses and credits.

Feature Ribbon Icon
All of our media formats

Online, Audio CD, DVD, iOS/Android App, USB Stick, Live Webinars

Learn at your pace, in the format that you prefer.

Want Different Options?

For a custom suite of courses, our custom CLE option satisfies your CLE cycle requirements in one easy step.

Customize OptionsRight ArrowCustomize Options