Customer Complaints: Rules, Guidance & Firm Policies

Instructor

Foresters Equity Services, Inc.

Reviews (3)

conni borwick
Ira Gottshall
Sean Butler-Galliera

Overview

Welcome to the Foresters Equity Customer Complaints: Rules, Guidance & Firm Policies. 

You must complete this training in its entirety by May 31, 2018. 

If this requirement is not satisfied by this deadline, you will be fined $250.00.

It will take you approximately 90 mins to complete. This training is not timed. 

Once you have read all sections of this training in its entirety, click on the "Tasks" tab to take the quiz. Please note: you must score at least 80% on the quiz to be marked as satisfied. You have three attempts to take the quiz and pass. 

Below is an overview of the training:

  • Introduction
  • Customer Relations
  • FINRA Rule 2090, Know Your Customer
  • FINRA Rule 2010, Standards of Commercial Honor and Principles of trades
  • FINRA Rule 2111, Suitability
  • FINRA Rules Relating to Duties and Conflicts (2000-3000)
  • Violations
  • Disciplinary Actions
  • Conclusion
  • Quiz (under Tasks)

Course content

  • Introduction

  • FINRA Rule 2090, Know Your Customer

  • FINRA Rule 2010, Standards of Commercial Honor and Principles of Trade

  • FINRA Rule 2111, Suitability

  • FINRA Rules Relating to Duties and Conflicts (2000-3000)

  • Violations

  • Disciplinary Actions

  • Conclusion

Interested? Enroll to this course right now.

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