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Registration & Qualifications

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Registered Representatives & Other Securities Industry Professionals

This information addresses how registered representatives are to conduct business and it explains the need for professionalism and fair dealing with investors. Not every situation you encounter is discussed and some of the points covered may not apply to your firm's business. In your training, you will learn that there is an extensive support system available to help you comply with these requirements.

Many of the topics discussed will be covered during your member-firm training. If you have any questions or need additional guidance, ask your training supervisor or contact one of the FINRA District Offices.

Registered Representative & Other Securities Industry Professionals