Ethics: Books and Records


This course will explore ethics and, specifically, your ethical obligations with regard to books and records required to be maintained and kept under industry rules and regulations and the consequences for failing to maintain them and, more specifically, for falsifying those records.

Learning Objectives

  • provide a common definition of ethics
  • understand books and records obligations
  • understand the consequences for falsifying books and records

Designed For

All registered representatives and principals

Find this course for your license:

License or Certification