1. All the chapters are here.
2. Want to go straight to quizlets? Go here.
3. When you're ready for a practice exam, go here. And remember to hit the restroom before you start.
4. Flashcards: "blah blah blah"
5. Tired of flashcards? Really? Well here's a list of all the words
Ok, if you need to go through this quick and dirty introduction again. You know where to find me.
Please silence your phones. We hope you enjoy the show.
This rule could be boiled down to one statement: don’t be an ass when dealing with customers. Of course FINRA would never put it so succinctly (why use 8 words when you can use 80, right?), but that’s the basic gist.
Don’t be an Ass Part I
Under FINRA’s General Standards of Business Conduct, when conducting general sales practices, a member firm must follow high standards of commercial honor and just and equitable principles of trade when dealing with customers. All of this is covered un...
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