United Institute for Continuing Legal Education is a provider of accredited CLE courses throughout the country. To view our full accreditation details please .
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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.
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Enables you to fulfill multiple CLE cycles with one purchase.
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Courses are available immediately upon checkout. You will have 24/7 access to your purchased courses during the lifetime of your subscription.
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