FINRA Webcast

Conflicts of Interest

This webcast focuses on how to identify and handle many conflicts of interest that can occur in the securities industry. It covers FINRA Rules around this issue, common sources for conflicts, and how to minimize risks.

 

FINRA also offers an e-learning course that focuses on conflicts of interest.

 

View Webcast

 

Related Resources:

Notice to Members 06-69

NYSE Rule 350

NASD Rule 2110

IM-2110-3

NASD Rule 2111

NASD Rule 2290

NASD Rule 2711

NASD Rule 3030

NASD Rule 3040

NASD Rule 3060


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For firms that use FINRA webcasts for training purposes, please be aware that FINRA now offers webcast tracking through the Report Center.

 

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Important Viewing Notes:

Access
Some firms have firewalls that are not configured to allow audio/video from the Internet. Please check with your IT department to resolve this issue.

Required Software
Accessing the webcast requires Macromedia Flash 8.0 or higher.

 

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Required Hardware
Your computer must have a sound card and speakers (internal or external) in order to hear the webcast.