This course provides a thorough introduction to FINRA rules and regulations that govern broker/dealers and their associated persons. Among the policies that are examined in this course are conduct rules and the Code of Procedure for disciplining member firms and registered representatives, the Code of Arbitration procedure for industry or customer disputes, the Code of Mediation Procedure, and various NYSE rules. You will also learn FINRA's standards for public communications, regulations for the OTC market, how to process orders, and back office functions. Understanding the Rules of FINRA addresses all of these issues in detail and provides you with knowledge that you will use throughout your career.
At the conclusion of this course, you will be able to:
- Describe the function and importance of FINRA as a regulatory body.
- Identify and apply FINRA Conduct Rules.
- Discuss the enforcement codes: Arbitration, Mediation, and the Code of Procedure for disciplining member firms and registered representatives.
- Recognize key NYSE rules.
- Explain FINRA Standards for Public Communications.
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