New Member Process
 Application Changes
 Continued Membership


 Avoiding Complaints


 Exam Training Schools
 Proctor Center Locations
 Licensing Exam Guide
 Test Prep & Strategies


 Understand Your Rights


 Know the Rules & Regs


 Professional Associations



As a registered representative there is a potential to be subject of a customer complaint despite your best efforts. Your Registered Representative Membership provides you with a practical approach, to help avoid sales practice complaints in the following areas:

  • Unsuitable recommendations
  • Unauthorized trading
  • Excessive trading/Churning
  • Misrepresentation/Material omissions
Your membership will provide you with valuable insight to help reduce your potential risks and improve customer relations.

 

 

 

 

 

 

 

 

 

 

 

 

 


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