Restricted Firm Obligations: What You Need to Know

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Arkansas CLE
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Courses purchased through UnitedCLE.com are provided and fully accredited by The National Academy of Continuing Legal Education, an accredited CLE sponsor in Arkansas, approved by the Arkansas Continuing Legal Education Board. To view our full accreditation details please .

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All Courses Available iOS/Android Web

About This Course

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.

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