Regulatory Landscape for the Registered Representative

Overview

In this course, you will receive an overview of the regulatory landscape for registered representatives. The course provides highlights from the 2021 Report on FINRA’s Examination and Risk Monitoring Program and discusses some of the findings from recent examinations at various broker-dealers in connection with each of the regulations, as well as shares some effective practices observed. Additionally, the course will touch on a few of the major conflict of interest areas in the registered representative’s world. 

Learning Objectives

Upon conclusion of this course, you should:

  • be familiar with the basic regulations facing registered representatives and their broker-dealers;
  • have a variety of ideas to implement with your organization to help it run more efficiently and be better able to meet FINRA guidelines;
  • understand some of the challenges faced by representatives and broker-dealers in connection with the regulations;
  • be familiar with common conflict of interest situations facing registered representatives; and
  • have an understanding of how to avoid certain risk situations that might lead to conflicts of interest in your business.

Designed For

Registered Representatives 
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