This course uses scenarios adapted from actual FINRA disciplinary actions to remind institutional registered representatives about their compliance obligations. Volume 4 covers private securities transactions, use of social media, conflicts of interest, ethical behavior, and customer complaints.
Upon completion of this course, students will be able to:
- identify common regulatory requirements
- meet your compliance obligations as you go about your daily business
- understand the potential consequences of failing to comply with your firm’s policies and FINRA’s rules