This course uses scenarios adapted from actual disciplinary actions to remind registered representatives about their compliance obligations. Volume 1 covers outside business activities, private securities transactions, Form U4 disclosures, responding to compliance requests, providing accurate customer information, customer complaints and settlements, email, handling customer and firm funds, trade authorizations and conflicts of interest related to borrowing money from customers.
Upon completion of this course, students will be able to:
- identify common regulatory requirements
- understand the potential consequences of failing to comply with your firm's policies and FINRA rules
- recognize your compliance obligations in: providing your firm with written notice for outside business activities, getting your firm's approval before engaging in private securities transactions, disclosing all material information on your form U4, responding to all compliance requests in a timely manner, providing accurate customer information, notifying your firm about customer complaints and settlements, not using personal email for work, handling customer's and firm's funds properly, obtaining written authorization to make trades for your customer, and managing conflicts of interest
All registered representatives and registered principals