Firm Element What is a Private Securities Transaction?

What is a Private Securities Transaction?

25.00 25.00

  • Course Delivery: On Demand
  • Duration: 1 

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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).

Topics Covered

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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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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