This course will explain residential supervisory location (RSL) qualifications, how to function from an RSL and how to report a location as an RSL.

Estimated Completion Time: 15 Minutes

This course reviews MSRB Rule G-11, which governs dealer procedures for new municipal securities sales and customer order priority.

Estimated Completion Time: 15 Minutes

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.

Estimated Completion Time: 10 Minutes

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.

Estimated Completion Time: 20 Minutes

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.

Estimated Completion Time: 10 Minutes

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.

Estimated Completion Time: 10 Minutes

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.

Estimated Completion Time: 25 Minutes

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

Estimated Completion Time: 10 Minutes