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

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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