FINRA Issues Part 1 of Continuing Education Podcast: "Spring 2014 Firm Element Advisory"

The FINRA Securities Industry/Regulatory Council on Continuing Education released the first podcast in a two-part series titled, "Spring 2014 Firm Element Advisory."

In the podcast, FINRA identifies topics they believe firms should consider in their Firm Element training plans, including:

• anti-money laundering compliance;
• the accessibility of information in suspicious activity reports;
• advertising regulation issues;
• business continuity planning;
• issue allocations and distributions;
• expungement of information from the Central Registration Depository; and
• know-your-customer and suitability obligations.

See: FINRA Podcast.