This course introduces the FINRA's Interpretive Memo, which is where regulators outline the basis for sound sales practices. You will learn about FINRA's firm position on fair dealing, as well as the ethical standards of the FINRA Rules, with particular emphasis on the requirement to deal fairly with the public.
At the conclusion of this course, you will be able to:
- Describe FINRA's Interpretive Memo.
- Outline some clear violations in dealing with customers.
- Paraphrase FINRA Rules 2212 and 2315.
- Describe regulatory concerns relating to variable annuity products.
- Paraphrase NASD Rule 2310.
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