Lesson 18 New Account Regulations: FinCEN is a part of the U.S. Department of the Treasury and it seeks to safeguard the nation’s financial system. They send blacklist to FINRA member firms every few weeks and the principal must check these lists against their client base within 14 days and report. After the attacks on ... Read more

Series 22 Exam Lesson 18 New Account Regulations:

This Podcast is for the training the financial services representative in the preparation to take the FINRA The Series 22 exam.  Often called the Direct Participation Programs Limited Representative Exam, the Series 22 assesses the competency of an entry-level registered representative to perform their job as a direct participation programs representative.  The exam measures the degree to which each candidate possesses the knowledge needed to perform the critical functions of a direct participation programs representative, including the solicitation, purchase and sale of limited partnerships, among other products.  Candidates must pass the Securities Industry Essentials (SIE) exam and the Series 22 exam to obtain the Direct Participation Programs Representative registration. For more information about the SIE and Series 22 exams.

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This Podcast is for the training the financial services representative in the preparation to take the FINRA The Series 22 exam. Often called the Direct Participation Programs Limited Representative Exam, the Series 22 assesses the competency of an entry-level registered representative to perform their job as a direct participation programs representative. The exam measures the degree to which each candidate possesses the knowledge needed to perform the critical functions of a direct participation programs representative, including the solicitation, purchase and sale of limited partnerships, among other products. Candidates must pass the Securities Industry Essentials (SIE) exam and the Series 22 exam to obtain the Direct Participation Programs Representative registration. For more information about the SIE and Series 22 exams.

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Series 22 Exam Lesson 18 New Account Regulations:

Series 22 Exam Lesson 18 New Account Regulations: