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: Identifying and Escalating Customer Complaints (EL-ELC269)

Overview

This course will highlight the role that registered representatives (RRs) play in properly identifying and escalating customer complaints. In this context, the course will explore considerations related to identifying and escalating customer complaints and will then review scenarios that highlight some common errors in these areas, along with the potential ramifications for both RRs and firms. The course will also review what happens to a complaint once it is reported to FINRA and then delve into the greater framework of FINRA rules in order to understand the regulatory landscape in which these requirements take place.

Learning Objectives

By guiding you through some real-world scenarios that RRs have encountered, this course aims to:

  • review proper handling of customer complaints;
  • explore common misconceptions about customer complaints;
  • show how customer complaint information appears on RRs’ records; and
  • examine the regulatory framework for customer complaints.

Designed For

Registered Representatives

Find this course for your license:

License or Certification

Regulator

Type