This course describes how conflicts of interest can arise in the course of a registered representative's business, how to avoid these situations, and how to address a conflict of interest once it has been identified.

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

• identify the principal areas in which registered representative conflicts of interest are likely to arise in the pursuit of their professional activities
• recognize the three principal methods of dealing with conflicts of interest
• describe the notice requirements applicable to a registered representative’s engaging in outside business activities
• identify the limits placed on a registered representative’s receipt of gifts
• describe the rules placed on associated persons’ conflicts of interest in preparing research reports

Retail Representatives