Overview
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.
Find this course for your license
License or Certification
Regulator
Type
Learning Objectives
- 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:
Course Information
Adding additional credit may change exam requirements.
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S2-31 - Framework