This course reviews when a communication is considered an advertisement under MSRB Rule G-21 and the standards that apply to these advertisements.

This course studies how to identify and avoid certain prohibited manipulative and deceptive trading practices, including those commonly known as “spoofing” and “layering.”

This course examines the due diligence required to determine whether it is appropriate to approve a customer to trade options.

This course reviews obligations pertaining to investor funds during contingency offerings with an emphasis on areas of particular concern per FINRA findings.