Conflicts of Interest

Overview

This course describes how conflicts of interest can arise in the course of a registered representative's business, how to avoid these situations, and how to address a conflict of interest once it has been identified.

Learning Objectives

Students who successfully complete this course will be able to:

  • identify the principal areas in which registered representative conflicts of interest are likely to arise in the pursuit of their professional activities
  • recognize the three principal methods of dealing with conflicts of interest
  • describe the notice requirements applicable to a registered representative’s engaging in outside business activities
  • identify the limits placed on a registered representative’s receipt of gifts
  • describe the rules placed on associated persons’ conflicts of interest in preparing research reports

Designed for

Retail

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