FINRA: Annual Compliance Reminders for Institutional Registered Representatives—Vol. 3

Overview

This course uses scenarios adapted from actual FINRA disciplinary actions to remind institutional registered representatives about their compliance obligations. Volume 3 covers proper handling of customer accounts and funds, outside business activities, communications with the public, and more.

Learning Objectives

Students who successfully complete this course will be able to:

  • follow proper steps before engaging in outside business activities and avoiding holding outside securities accounts
  • ensure that your clients sign required forms
  • use public communications appropriately
  • maintain ethical behavior when transacting business with your firm
  • handle your customers’ funds in a proper manner

Designed for

Institutional

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