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What is the course syllabus?

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Lesson 1: Overview of the CFRs and the Regulatory Environment

Topics covered in this chapter are:

  • Introduction
  • General Overview of the Regulatory Environment
  • Legal Responsibilities and Evolution of Relationship Disclosure
  • Recent Regulatory Changes
  • Summary

Lesson 2: Relationship Disclosure and other Regulatory Requirements

Topics covered in this chapter are:

  • Introduction
  • Relationship Disclosure
  • Outside Activities
  • Vulnerable Clients
  • Misleading Communications
  • Other Areas of Regulatory Focus
  • Summary

Lesson 3: Ethical Conduct and the Consequences of Noncompliance

Topics covered in this chapter are:

  • Introduction
  • Ethical Conduct
  • Client Complaints
  • Consequences of Noncompliance
  • Summary