This course reviews when a communication is considered an advertisement under MSRB Rule G-21 and the standards that apply to these advertisements.
SELECTED_YEAR Learning Plan
The Regulatory Element provides training on significant rule changes and other regulatory developments. Courses focus on new and amended rules, industry trends and core knowledge areas relevant to each registration category.
The Regulatory Element Learning Plan below has been created based on the registration categories that were selected.
Applying Municipal Security Advertisement Standards
Avoiding Manipulative and Disruptive Trading Practices
This course studies how to identify and avoid certain prohibited manipulative and deceptive trading practices, including those commonly known as “spoofing” and “layering.”
Performing Due Diligence During Options Account Opening
This course examines the due diligence required to determine whether it is appropriate to approve a customer to trade options.
Safeguarding Investor Funds: Responsibilities With Contingency Offerings
This course reviews obligations pertaining to investor funds during contingency offerings with an emphasis on areas of particular concern per FINRA findings.
Maintaining Research Content Integrity
This course identifies content requirements for equity research reports. It also describes specific disclosure obligations regarding risk factors and valuation methods.
Managing Online Presence: Communications With the Public and Social Media
This course defines social media in the context of registered representatives’ communications with the public, and highlights ways to mitigate key social media risks. It also provides guidance on applying best practices when using social media.
Supervision and Social Media
This course focuses on supervising registered representatives’ social media use and ways to mitigate key social media risks. It also highlights requirements for recognizing and handling social media-based customer complaints.
Amended Rule Overview: The SEC’s Electronic Recordkeeping Rule for Broker-Dealers
Combating Financial Exploitation: Protecting Seniors and Those With Diminished Capacity
This course reviews the concept of financial exploitation and explores the tools and strategies that are in place to protect vulnerable investors and support registered persons in their day-to-day work with these investors.
Mitigating Cybersecurity Risks
Applying Regulation BI
This course examines when and how to apply SEC Regulation BI. Areas of focus include factors registered representatives should consider when making a recommendation to a customer and disclosures that must be provided to customers.