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.