Firm Element Understanding the Rules of FINRA

Understanding the Rules of FINRA

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  • Course Delivery: On Demand
  • Duration: 1 

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Description

This course provides a thorough introduction to FINRA rules and regulations that govern broker/dealers andtheir 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. FINRA also stipulates standards for public communications, regulations for the OTC markets, 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.
 

Topics Covered

This course covers the following topics: Content mandated on national core exam for Property and Casualty exam State Law regulations for students home state Questions on national and state law topics as shown in state outline
 

Prerequisites

n/a
 

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.
 

Exams

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

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