FINRA Webcast

The Importance of Ethical Behavior
This webcast discusses why acting ethically is so important to the viability of capital markets. In addition to addressing NASD Rule 2110 and firms' own Codes of Ethics, this webcast presents a framework that can help securities professionals make ethical decisions. Be sure to download the accompanying discussion guide.

 

View Webcast

 

Related Resources:

Ethics Webcast Discussion Guide

 

Broker Guidance & Responsibility

 

FINRA Instructor-led Ethics Course


View Other Available Webcasts

 

For firms that use FINRA webcasts for training purposes, please be aware that FINRA now offers webcast tracking through the Report Center.
 

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Important Viewing Notes:

Access
Some firms have firewalls that are not configured to allow audio/video from the Internet. Please check with your IT department to resolve this issue.

Required Software
Accessing the webcast requires Macromedia Flash 7.0 or higher.

 

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Required Hardware
Your computer must have a sound card and speakers (internal or external) in order to hear the webcast.