This course covers financial crimes by registered representatives and broker-dealer firms, including penalties. It includes case studies, reports, and appeals to the National Adjudicatory Council. There is also a section on financial crimes related to the pandemic and what registered representatives should be aware of in their public dealings.

• gain an understanding of the wide variety of financial crimes
• be aware of the most current trends in financial schemes, including those surrounding the coronavirus
• know what may happen as a result of participating in activities such as those shared in the case studies herein, and the types of sanctions imposed for the various crimes