Overview
This course reviews a series of FINRA disciplinary actions against registered representatives that illustrate the consequences of violating FINRA and/or firm rules, regulations, requirements, and policies, specifically those citing a violation of the Standards of Commercial Honor and Principles of Trade.
Find this course for your license
License or Certification
Regulator
Type
Learning Objectives
- identify the FINRA bylaws that give FINRA the right to establish ethical standards for member firms and to impose sanctions for their violation
- understand the FINRA rules specifically mandating ethical behavior for members and their associated persons
- recognize the unethical practices specifically prohibited by FINRA rules
Designed For:
All registered representatives and principals
Course Information
Adding additional credit may change exam requirements.
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S1-31 - Framework