Overview
This course aims to provide a high-level awareness of certain prohibited practices surrounding customer relationships.
Learning Objectives
Upon completion of this course, students will understand a wide range of job functions and registrations by taking a thematic approach to identifying and analyzing certain prohibited practices related to fair dealing with customers, particularly surrounding:
- unauthorized account activity;
- excessive trading and churning;
- communications standards; and
- misuse of material nonpublic information (MNPI).
Designed For
Registered Representatives
Find this course for your license:
License or Certification
Regulator
Type