Overview
As a professional in the financial services industry, there are industry rules controlling your conduct when it comes to pay-to-play. This course discusses those pay-to-play rules and provides a glimpse into the consequences for violating those rules. It concludes with a ten-question exam.
Find this course for your license
License or Certification
Regulator
Type
Learning Objectives
- Understand pay-to-play rules
- Identify prohibited conduct
- Understand the consequences for violating pay-to-play rules and regulations
Designed For:
Registered representatives and principals
Course Information
Adding additional credit may change exam requirements.
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S1-32 - Framework