Conflicts of Interest (VLC007)

This e-learning course focuses on how to identify and handle many conflicts of interest that can occur in the securities industry. It covers FINRA Rules around this issue, common sources for conflicts, and how to minimize risks. At the course's conclusion, you may complete an optional assessment test.

 

Course Highlights

This online course leads participants through a series of scenarios, asks them to make decisions, shows correct and incorrect answers and then prompts them to complete and pass a mastery test at the end of the course.

Login for returning users. 

 

Purchase Options

• Individual Course
  Purchase this course at a FINRA-member rate of $12.50 per course, per user, or at a non-member rate of $25 per course, per user.
  
  
• Individual Library Subscription 
  If you are considering purchasing three or more courses, a Library Subscription may be the most cost-effective option. The Library Subscription grants you access to FINRA's entire growing library of e-learning courses, including all newly released courses, for a period of one year from the date of the subscription purchase. The Library Subscription FINRA-member rate is $45 per user, and the non-member rate is $90 per user. 
  
  
• Group Purchases and Unlimited-Use Site Licenses  
  FINRA also offers Group Purchases and Unlimited-Use Site Licenses for two or more users. 

 

Note: A user name and password will be emailed within 48 hours of receipt of payment. 

 

For more information, please call (212) 858-4119 or send us an email.