Conclusion

You are beginning a potentially rewarding career, both personally and professionally, in a high-profile service industry. The key to your long-term success is integrity and service.

 

You have a legal and moral obligation to place the interests of your customers above all else, particularly your own financial interests. You hold the investor's confidence in your hands. Do not engage in acts or practices that could destroy that confidence not only in you but also in your firm and the U.S. securities markets.

 

Remember: You are not alone. Your firm, its supervisory and compliance staff, its management, and your FINRA District Office staff are always available to help you. Best wishes in your new profession.