EMDA Members receive special price for the Ethics for Exempt Market Dealer Representatives course
August-16-12
The Ethics for Exempt Market Dealer Representatives course was developed for representatives working for Exempt Market Dealers. The objectives of the course are to emphasize the importance of ethical conduct and to provide concrete examples of proper and improper conduct. The course covers such important topics as:
• What is ethics?
• Trading without being registered
• Sale of exempt securities to non-accredited investors
• Unsuitable recommendations, know-your-client and know-your product
• Prohibited representations
• Recommending the use of leverage
• Marketing materials
• Off-book trades
• Managing conflicts of interest
• Selling securities of issuers related to the EMD
• Outside business activities
The course includes several case studies illustrating appropriate and inappropriate conduct by EMD representatives. The case studies are based on actual enforcement cases involving EMD representatives. The EMDA Members pay only $130 (regular price is $150). For more information, please click HERE.
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