Compliance Highlights

Overview

This course is a compilation of the regulatory events and rules that impact the manner in which a registered representative is expected to conduct his day-to-day business dealings with his or her clients. It is not all inclusive of the regulatory landscape but rather highlights those items that directly impact a registered representative.

Learning Objectives

Students who successfully complete this course will be able to:

  • recognize the importance of accurate books and records
  • understand the requirements of suitability
  • identify conflicts of interest
  • understand their ethical requirements
  • describe the importance of Form U4 disclosure
  • recognize and report outside business activities and personal securities accounts
  • understand the rules surrounding communications with the public

Designed for

Retail

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