Course Description
Publication/Revision Date: This course was updated on 3/26/2026.
Ethical Behavior for Financial Professionals examines the nature and scope of ethics, as the foundation of integrity and honesty, and its relationship to compliance. It reviews the requirements of Regulation Best Interest and the Investment Adviser Marketing Rule.
Upon successful completion of this course, the student should be able to:
- Understand the nature of ethics and identify those parties to whom the practitioner owes an ethical duty;
- Recognize the requirements of Regulation Best Interest and the Investment Adviser Marketing Rule;
- Identify and change any sales tools that may mislead customers;
- Replace the use of misleading terms with those offering clarity and customer understanding;
- Describe the need for increased professionalism and its consequences;
- Discuss the sources of duty practitioners owe insurers;
- Understand the common ethical issues that arise between financial services practitioners and customers; and
- Differentiate his or her practice on the basis of its high ethical level.
