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Firm Element Brokerage, Mutual Fund and Variable Product Sales Practices

Brokerage, Mutual Fund and Variable Product Sales Practices

25.00 25.00

  • Course Delivery: On Demand
  • Duration: 1 

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This course covers the following: Rules governing sales practices and a practical look at how to best supervise a sales staff. Topics also covered: Ethics and Suitability of the daily sales activities of registered representatives. FINRA Specific Rules Covered: 3012, 3013, 3010, 3110, and 2510.



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End of Course Instructions

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Quiz Information

You will not be required to pass the quizzes to move on to the next lesson.


You will be required to pass the final exam with a 70% in order to receive course credit.

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