Trends in Disciplinary Actions


This course provides a review of a selection of FINRA disciplinary actions and the sanctions imposed on broker-dealer firms and individuals for inappropriate activity and behavior.

Learning Objectives

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

  • understand FINRA rules that are commonly violated
  • identify common mistakes make by firms and individuals

Designed For

All registered representatives and principals

Find this course for your license:

License or Certification