Financial Responsibility Rules


This course will focus on the financial responsibilities rules of the registered representative in today’s securities market. You will learn how regulations began and evolved into what they are today, and why it is vital for every broker-dealer to ensure that each and every one of its agents has the proper education and training so that they are aware of all of the financial responsibility rules and what they entail. 

Learning Objectives

Upon completion of this course, you should:

  • be familiar with the history of financial regulations, how they began and evolved;
  • have an understanding of why financial regulations are vital to know about and understand;
  • have a solid understanding of what capital compliance is;
  • be familiar with the types of regulatory notifications required;
  • be aware of different types of member agreements;
  • have a solid understanding of customer protection rules;
  • understand the basic elements that comprise a business continuity plan; and
  • be familiar with the types of books and records required to be maintained and preserved.

Designed For

This course is designed for Registered Representatives.

Find this course for your license:

License or Certification