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

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

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.

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. 

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.

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.

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.