The number of FINRA sanctions against registered personnel engaged in unauthorized, private securities transactions (often referred to as 'selling away') underscores the importance of summarizing terms associated with securities transactions (Lesson 1), analyzing the FINRA rule (3040) regarding 'private security transactions' (Lesson 2) and reviewing both recent sanctions (fines, suspensions, and industry bars) and the guidelines by which FINRA assesses those penalties for private security transactions (Lesson 3).
This course contains the following topics: Lesson 1: Introduction Lesson 2: Role of Ethics Lesson 3: Ethics vs. Values Lesson 4: Resolving Ethical Dilemmas Lesson 5: Ethical Decision Making Lesson 6: Nature of the Insurance Product Lesson 7: The Insurance ProfessionalLesson 8: Insurance Regulation Lesson 9: Policy Illustrations Lesson 10: Consumer Protection in the Insurance Industry Lesson 11: Regulation of Insurance Trade Practices
End of Course Instructions
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