Overview

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