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