Role of the Operations Professional

Overview

Registration as an Operations Professional was implemented by FINRA to provide assurance that certain operations personnel or covered persons understand their role and responsibilities, including handling of customer accounts, ethical obligations, and identifying regulatory red flags. This course provides an overview of covered persons under the rule, covered functions under the rule, ethical obligations to customers, and red flag issues.

Learning Objectives

Students who successfully complete this course will be able to:

  • define covered persons
  • describe covered functions
  • understand general product knowledge
  • understand ethical obligations to customers
  • identify red flag issues

Designed for

Retail

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