This course reviews information barriers and how to uphold them to prevent material nonpublic information (MNPI) misuse.

This course reviews two types of order routing disclosure requirements featured in Rule 606 of SEC Regulation NMS:

• order routing information required in public quarterly reports per amended Rule 606(a); and
• not-held order handling information required upon a customer’s request per Rule 606(b)(3).

This overview of Regulation BI (Best Interest) focuses on issues relevant to registered representatives, including:

• applicability of the rule;
• what is considered a recommendation; and
• factors to be considered when making a recommendation.

The course also discusses the appropriate disclosure to provide customers and how to mitigate conflicts of interest.

This course discusses effective practices to protect electronic and physical data in the workplace and while working remotely.

This course examines best practices for firms to establish and implement strong cybersecurity procedures. It also provides information on granting employees and vendors access to information and preventing data breaches.

This course provides an overview of new FINRA Rule 3241 as well as resources to find answers to questions and learn more.