This course highlights the role of registered representatives (RRs) in identifying and escalating customer complaints. It explores key considerations, common errors, and potential ramifications for RRs and firms. The course also reviews the process of reporting complaints to FINRA and examines the broader FINRA regulatory framework.

• 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.