FINRA: Ethical Considerations for Supervisors


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.

Learning Objectives

Upon completion of this course, students will be able to:

  • 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

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License or Certification