Residential Supervisory Locations
Working from a Residential Supervisory Location
This course will explain residential supervisory location (RSL) qualifications, how to function from an RSL and how to report a location as an RSL.
Retail Order Period and Priority Provisions in New Municipal Security Offerings
Understanding Retail Order Periods and Priority Provision in New Municipal Security Offerings
This course reviews MSRB Rule G-11, which governs dealer procedures for new municipal securities sales and customer order priority.
Trading Ahead of a Research Report
Preventing Trading Ahead of Research Reports
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.
Financial and Operational Books and Records
Complying with Financial and Operational Books and Records Requirements
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.
IPO Timeline and Communications
Communicating During an IPO
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.
Order Types and Current Quotes
Selecting Order Types and Quotations
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.
Scam Trends
Disrupting the Cycle of Financial Fraud: Understanding Scam Trends
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.
Communicating about Departing Registered Representatives
Communications Regarding Departing Registered Representatives
This course aims to help learners identify firm responsibilities regarding continuity in coverage and procedures for when a registered representative has left the firm.
Regulation BI’s Care Obligation – Second Component
Reg BI: Preparing a Recommendation for a Particular Retail Customer
This course focuses on the second component of SEC Regulation BI’s Care Obligation. In this course, learners will apply the SEC's guidance on making a recommendation in the best interest of one particular retail customer and explore effective practices for ensuring that registered persons understand the process for evaluating reasonably available alternatives.
