FINRA: Identifying and Escalating Customer Complaints (EL-ELC269)


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. 

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