5
Concepts
0
Formulas
1
Decisions
4
Quiz Questions
5 concepts covered in this module.
Real-world scenarios require judgment. Multiple standards may apply simultaneously. Focus on identifying which standards are relevant and what action is required.
Front-running (trading ahead of clients), churning (excessive trading for commissions), misrepresentation of credentials, selective disclosure, conflicts of interest.
Report violations internally first (supervisor/compliance). If no action, escalate. External reporting may be required by law. Protect yourself legally.
Commissions used for research must benefit clients. Cannot use soft dollars for non-research expenses. Must disclose soft dollar arrangements.
Same standards apply to social media as traditional communications. Must be factual, not misleading, and include proper disclosures.
1 decision frameworks to guide your analysis.
Visual overview of how concepts connect in this module.
This module has 6 flashcards and 4 quiz questions to test your knowledge.
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