Holiday Hours

In observance of Memorial Day, WebCE Support Services hours will be:
Fri, May 24th: 7:00am-7:00pm CST | Sat, May 25th: 10:00am-3:00pm CST | Sun May 26th - Mon May 27th: Closed

We will resume our regular hours of 7:00am-7:00pm CST on Tues May 28th, Online catalogs and course delivery will be available without interruption.

FINRA: Private Securities Transactions

Overview

This course covers rules and regulations governing the treatment of private securities transactions, and reviews obligations for registered representatives. Scenarios are presented to help registered representatives identify private securities transactions and the appropriate actions to take before engaging in them.

Learning Objectives

Upon completion of this course, students will be able to:

  • recognize private securities transactions. - Describe the requirements surrounding participation in private securities transactions
  • identify appropriate actions to take before engaging in private securities transactions
  • explain the difference between private securities transactions and outside business activities
  • discuss the importance of complying with the rules in this area

Designed For

All registered representatives and registered principals

Find this course for your license:

License or Certification

Regulator

Type