Ethics - Fraud, Forgery and Other Failings


Ethics in the securities industry is guided by specific rules and common law decisions. FINRA’s monthly disciplinary actions provide an industry overview. In early 2023, the SEC proposed amendments to strengthen its ethics compliance program, reflecting the industry’s focus on ethical practices to build investor trust. This course examines the ethical duties of registered individuals and reviews instances of fraud, forgery, and other ethical failings.

Learning Objectives

  • understand the general ethical duties applicable to securities industry registrants.
  • understand the rules applicable to ethical conduct in the securities industry.
  • be familiar with disciplinary and legal actions taken against securities industry registrants for ethical lapses.
  • understand the potential penalties for ethical lapses in the securities industry.
  • understand how these products can fulfill the need for asset accumulation and income distribution.

Designed For

Registered Representatives 

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License or Certification