Pay-to-Play Rules


As a professional in the financial services industry, there are industry rules controlling your conduct when it comes to pay-to-play. This course discusses those pay-to-play rules and provides a glimpse into the consequences for violating those rules. It concludes with a ten-question exam.

Learning Objectives

Students who successfully complete this course will be able to:

  • understand pay-to-play rules
  • identify prohibited conduct
  • understand the consequences for violating pay-to-play rules and regulations

Designed For

All registered representatives and principals

Find this course for your license:

License or Certification