FINRA: Ethical Considerations for Registered Representatives

Overview

This course presents six common ethical principles and selected decision-making models for registered representatives to consider when facing ethical dilemmas. Scenarios demonstrate how these models can be practically applied to common ethical challenges faced by securities professionals.

Learning Objectives

Students who successfully complete this course will be able to:

  • recognize six common ethical principles
  • understand selected models to consider as a resource in resolving ethical dilemmas
  • consider the difference between ethical and unethical behavior

Designed for

Retail

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