The SEC's Books and Records Requirements - The Basics

360training.com
Training overview
Professional Course
E-learning
1 hour
From 30 USD
Start dates
Online
30 USD
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Course description

Ever since goods and services were first offered to customers, 'specials', 'deals', ' buy one, get one free', and other incentives have been offered to increase sales and spread the word about the seller's product. The securities industry has been no different; clients are offered discount pricing on trades, bonus on annuities and 'free' research on an array of investment opportunities.

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Training content

At the conclusion of this course, the student will be able to:
- Outline FINRA Rule 3060,
- Apply FINRA Rule 3060,
- List the exclusions to FINRA Rule 3060,
- Utilize the guidance presented under NTM 06-69,
- Describe FINRA Rule 3220,

Costs

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