Adopting and Adhering to a Code of Professional Responsibility

Overview

Registered Representatives have a professional responsibility to their firm and customers to conduct themselves with high standards of commercial honor and not undertake practices that are intended to deceive or manipulate. This course focuses on certain of those prohibited actions and provides a look behind the disciplinary curtain to show what the consequences of ignoring these obligations can bring.

Learning Objectives

Students who successfully complete this course will be able to:

  • understand FINRA rules guiding professional conduct
  • describe what practices are expressly prohibited
  • understand the consequences for failure to follow those expectations

Designed for

Retail

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