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.