Learn to open an account correctly, handle what you learn about the customer properly, and escalate a concern without overstepping - the compliance work that sits underneath every securities support role.

You'll identify the customer information a broker-dealer must obtain under CIP rules and distinguish documentary from non-documentary verification under a firm's risk-based procedures, after first separating account operating type from legal registration - two dimensions that are routinely merged into one list. You'll then differentiate nonpublic personal information from public information and rewrite sample communications to approved recipients, channels, and minimum necessary content, working across the information lifecycle from collection to disposal. Finally, you'll flag and escalate potential AML red flags such as structuring or rapid in-and-out transfers using a supplied firm escalation process - and learn to write an observation that records facts without asserting conclusions. Firm procedures shown in this course are illustrative examples, not regulatory requirements. Passing the SIE is not a license or a securities registration. By the end of this course, you will be able to: - Identify the customer information a broker-dealer must obtain to open an individual account under CIP rules and distinguish documentary from non-documentary verification methods under a firm's risk-based procedures - Differentiate non-public personal information from public information and outline correct handling procedures for each in sample email drafts - Flag and escalate potential AML red flags-such as structuring or rapid in-and-out transfers-using firm escalation steps in a mock case study No prior securities experience is required. Learners should be comfortable reading straightforward business documents and performing basic arithmetic. No finance coursework, securities license, or firm sponsorship is required. The FINRA Securities Industry Essentials (SIE) exam is open to individuals aged 18 or older without firm sponsorship.