Holiday Hours

In observance of Memorial Day, WebCE Support Services hours will be:
Fri, May 24th: 7:00am-7:00pm CST | Sat, May 25th: 10:00am-3:00pm CST | Sun May 26th - Mon May 27th: Closed

We will resume our regular hours of 7:00am-7:00pm CST on Tues May 28th, Online catalogs and course delivery will be available without interruption.

FINRA: Prohibited Conduct in Customer Relationships (EL-ELC 272)

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