FINRA: Prohibited Conduct in Customer Relationships (EL-ELC 272)

Overview

This course aims to provide a high-level awareness of certain prohibited practices surrounding customer relationships. 

Find this course for your license


License or Certification 

 

Regulator 

 

Type 

 

Objectives

  • identify and analyze unauthorized account activity
  • understand excessive trading and churning
  • learn about communications standards
  • recognize the misuse of material nonpublic information (MNPI)

Designed For:

Registered Representatives 




Course Information

Adding additional credit may change exam requirements.

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