Spot compliance problems in broker sales practices.
Explains how to identify broker-dealer sales misconduct and assess the applicable compliance obligations under FINRA and SEC rules.
When to use it
Use for questions about broker misconduct, excessive trading, breakpoint discounts, outside activities, supervision, senior investor protections, annuity suitability, or options approval.
Give it a question about broker conduct or sales practices; it returns an analysis of potential violations and compliance obligations.
No setup requirements listed.
This skill
SEC sources
Checks current SEC sources
FINRA sources
Checks current FINRA sources
FinCEN sources
Checks current FinCEN sources