This course focuses on trading restrictions and firm policies relating to preventing the use of nonpublic advance knowledge of research report content for the benefit of the firm or any other person. It also provides information about limiting information flow between the research department and the trading department.

This course explores general financial and operational books and records requirements. It also emphasizes the importance of maintaining records and managing risks associated with third-party vendors and financial accounts and records. 

This course provides information on the initial public offering (IPO) process and permissible communications at each stage of an IPO. It also highlights prospectus documents and their delivery requirements.

This course is designed to help learners describe various types of orders, provide current quotes to customers, and communicate effectively with customers regarding orders and transactions.

In this course, learners will explore common scam trends and signs of possible scam victimization, demonstrate next steps to take if they suspect a customer is being scammed, and learn how to prevent victimization.

This course aims to help learners identify firm responsibilities regarding continuity in coverage and procedures for when a registered representative has left the firm.

This course focuses on the second component of SEC Regulation BI’s Care Obligation. In this course, learners will apply the SEC's guidance on making a recommendation in the best interest of one particular retail customer and explore effective practices for ensuring that registered persons understand the process for evaluating reasonably available alternatives.