Case Studies in Ethics

Overview

This course reviews a series of FINRA disciplinary actions against registered representatives that illustrate the consequences of violating FINRA and/or firm rules, regulations, requirements, and policies, specifically those citing a violation of the Standards of Commercial Honor and Principles of Trade. 

Learning Objectives

Students who successfully complete this course will be able to:

  • identify the FINRA bylaws that give FINRA the right to establish ethical standards for member firms and to impose sanctions for their violation
  • understand the FINRA rules specifically mandating ethical behavior for members and their associated persons
  • recognize the unethical practices specifically prohibited by FINRA rules

Designed for

All registered representatives and principals

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