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.
Language: English
