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.
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
All registered representatives and principals