This course gives learners the opportunity to practice applying supervisory considerations related to unapproved communication methods.

In this course, learners will explore why it’s critical to use firm communication tools appropriately and how they can communicate compliantly.

This course explores how successful customer screening—including recognizing and reporting suspicious activity—helps registered representatives maintain accurate records and prevent financial crimes. 

This course focuses on the first component of SEC Regulation BI’s Care Obligation: the obligation to understand the investment or investment strategy being recommended (“Reasonable Basis”).

In this course, learners will apply the SEC's guidance on understanding an investment or investment strategy and explore effective practices for ensuring that registered persons understand the investment or investment strategy.