Case Studies in Ethics

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

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.

At WebCE, we are passionate about delivering exceptional professional development solutions. With world-class customer support and education to serve multiple professions, we're here to help professionals reach their career goals.

Quick Links

Catalog

Business Solutions

Blog

Special Offers

All Products

Information

Privacy

Business Continuity

Accessibility

Sitemap

Terms