This course uses scenarios adapted from actual FINRA disciplinary actions to remind institutional registered representatives about their compliance obligations. Volume 3 covers proper handling of customer accounts and funds, outside business activities, communications with the public, and more.

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

• follow proper steps before engaging in outside business activities and avoiding holding outside securities accounts
• ensure that your clients sign required forms
• use public communications appropriately
• maintain ethical behavior when transacting business with your firm
• handle your customers’ funds in a proper manner

Institutional