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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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