FINRA: Ethical Considerations for Supervisors

Overview

This course presents six common ethical principles and selected decision-making models for supervisors to consider when facing ethical dilemmas. Scenarios demonstrate how these models can be practically applied to common ethical challenges faced by securities professionals.

Find this course for your license

License or Certification

Regulator

Objectives

recognize six common ethical principles
understand selected models to consider as a resource in resolving ethical dilemmas
consider the difference between ethical and unethical behavior
understand your role in establishing and maintaining an ethical environment and culture of compliance within your firm

Designed For:

Registered principals

Course Information

Adding additional credit may change exam requirements.

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