FINRA: Ethical Considerations for Institutional Sales Representatives


This course presents six common ethical principles and selected decision-making models for institutional sales representatives 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 common ethical principles
  • understand selected models to consider as a resource in resolving ethical dilemmas
  • consider the difference between ethical and unethical behavior

Designed For


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License or Certification