Firm Element Ethics in Institutional Sales (Interactive)

Ethics in Institutional Sales (Interactive)

25.00 25.00

  • Course Delivery: On Demand
  • Duration: 1 

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This course provides the student with an understanding of regulatory and firm-based requirements for ethical dealings between institutional clients, their registered representatives, and their broker/dealer.


Course Objectives

At the end of this course, the student will be able to:
- Describe the nature of ethical dealings with institutional clients.
- Recognize the SEC rules intended to regulate ethical behavior.
- Summarize the ethical concerns of having access to confidential, non-public information about specific securities and issuing firms.
- Evaluate the impact and limitations on the giving and receiving of gifts so as to limit influencing clients and prospective institutional clients.
- Describe the ethical issues that arise when conflicts of interest arise between an issuer and a research analyst (and their employing broker/dealer).





End of Course Instructions

Congratulations! You have successfully completed your online course; you may now print your certificate(s) online from your default login page (you may need to refresh this page)


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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