Customer Interactions and Form CRS

Overview

The course will focus on the regulatory relationship between a broker and its customers and, to a lesser extent, between a firm and its customers. You will learn about conduct that is permitted or encouraged, or perhaps just tolerated. You will also learn about conduct that can earn you six- or seven-figure fines, a lifetime ban, or even time in prison. Knowing what you can and can't do without crossing that line will help your clients by giving them the best service and help you keep your license and your freedom. 

Find this course for your license


License or Certification 

 

Regulator 

 

Type 

 


Objectives

  • have a solid familiarity with and understanding of the nature of the relationship between a customer and a representative
  • understand the things you cannot do, even if your client wants you to
  • understand forgery and unauthorized trading
  • understand why you cannot be an executor or trustee
  • understand how you can communicate with your clients
  • understand conflicts of interest

Designed For:

Registered Representatives 




Course Information

Adding additional credit may change exam requirements.