Ethics: Books and Records

Overview

This course will explore ethics and, specifically, your ethical obligations with regard to books and records required to be maintained and kept under industry rules and regulations and the consequences for failing to maintain them and, more specifically, for falsifying those records.

Learning Objectives

Students who successfully complete this course will be able to:

  • provide a common definition of ethics
  • understand books and records obligations
  • understand the consequences for falsifying books and records

Designed for

All registered representatives and principals

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