Ever since goods and services were first offered to customers, 'specials', 'deals', ' buy one, get one free', and other incentives have been offered to increase sales and spread the word about the seller's product. The securities industry has been no different; clients are offered discount pricing on trades, bonus on annuities and 'free' research on an array of investment opportunities.
At the conclusion of this course, the student will be able to:
- Outline FINRA Rule 3060.
- Apply FINRA Rule 3060.
- List the exclusions to FINRA Rule 3060.
- Utilize the guidance presented under NTM 06-69.
- Describe FINRA Rule 3220.
End of Course Instructions
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