Objectives
Upon completion of this course, you should:
- be familiar with FINRA Sanction Guidelines;
- have an understanding of why the FINRA Sanction Guidelines were established and why they are important;
- be familiar with what FINRA uses as guideposts;
- know about the latest trends in disciplinary actions as well as the typical sanctions in connection with those actions;
- be aware of new disciplinary actions being imposed by FINRA;
- have a solid understanding of the results of violations; and
- understand some of the mitigating factors that may affect sanctions.
Designed For:
The audience is Registered Representatives, Investment Advisers, and Supervisors.