Industry Best Practices

Overview

This course will look at important recent compliance and trading changes and how those changes impact your duties as a financial professional. The new marketing rule, the DOL rule, the increasing focus on digital assets, and the uncertainty of the economy short-term are all issues that will impact your life as a financial professional and require changes in your practices.

Learning Objectives

Upon conclusion of this course, you should:

  • have a solid understanding of the new marketing rule
  • have a solid understanding of your obligations relating to conflicts
  • have a solid understanding of digital assets and your obligations relating to them
  • have a solid understanding of your recordkeeping obligations
  • have a solid understanding of the power and place of the CCO
  • have a solid understanding of your obligations as a fiduciary

Designed For

Investment Adviser Representatives

Find this course for your license:

License or Certification

Regulator

Type