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