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Rule 4111 (Restricted Firm Obligations) went into effect recently, and creates new obligations and criteria for identification. This CLE course features FINRA staff as they present the new obligations under Rule 4111 as well as identify controls, processes and procedures that member firms have begun to implement to address the new obligations under the rule.
The course will review the various identification metrics thresholds and explain restricted deposit accounts.
Unlimited CLE
Enables you to fulfill multiple CLE cycles with one purchase.
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Our most popular courses bundled to save you time and money.
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Select the courses that interest you most while taking advantage of our bundle discount.
Courses are available immediately upon checkout. You will have 24/7 access to your purchased courses during the lifetime of your subscription.
Courses can be started, stopped, and paused at any time.
You can immediately print your CLE certificate upon completion of a course.
A copy of your certificate will remain in your account and will always be accessible to you.
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