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Free course template · US federal

FINRA conduct rules for registered reps: Communications, outside business activities and gifts

A ready-made course, live deck and three surveys for registered representatives. AhaSlides tracks progress, completion and scores for you. 40 minutes, 6 lessons, 10-question final check. Last reviewed 13 November 2026; not legal advice.

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FINRA conduct rules for registered reps: try 3 questions

Three questions from this course. Pick an answer, then see why.

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Three pieces that work together

Learners prepare on their own, you answer questions live, and the surveys tell you what stuck. 2 fields to fill in with your own policy, contacts and locations; each one is highlighted inside the course.

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Completion is tracked for you

Learners sign in to take the course, so every start, finish and score is recorded in AhaSlides. No spreadsheet to keep.

  • Who has finished

    See who has not started, who is in progress and who has completed the course.

  • Every score

    Each learner's result on the 10-question final check, against the 80% pass mark.

  • What landed

    Survey results show what people took away and what to change next time.

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6 lessons, about 40 minutes

What learners can do at the end of each lesson. Minutes are an estimate.

  • Lesson 1: Why these rules exist · 5 min

    Before you begin · Fair and balanced, supervised, recorded

  • Lesson 2: Communications · 10 min

    Correspondence, retail and institutional · Fair and balanced · Approve first or send? · Social media and texting

  • Lesson 3: Outside activities · 10 min

    Outside business activities and private securities transactions · Notify first · Practise · Practise

  • Lesson 4: Gifts and entertainment · 8 min

    Gifts and business entertainment · OK, log it or not OK? · Check your understanding

  • Lesson 5: Escalation · 2 min

    When in doubt, ask before you act

  • Lesson 6: Final assessment · 5 min

    Final assessment · Course complete

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Often taught together

Courses teams often run alongside this one.

Also listed in

  • Banking & Financial Services Training
  • US federal
  • AhaSlides
  • Financial services
  • Investment & wealth management
  • Regulated & licensed firms
  • Legal, compliance & risk
  • Sales teams
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Common questions

Yes. The course, the live deck and all three surveys are free. Claiming the template into your AhaSlides account is free too.

Yes. The course is self-paced and online, and the live deck lets you add a live session in the room or online.

At onboarding or as continuing professional development, with a yearly refresher (best practice).

Registered representatives, sales assistants, marketing staff and supervisors at broker-dealers; run by compliance or training teams.

Record completion in your own LMS or record system, so you can show who finished the course and when.

Yes, everything. Change the wording, swap scenarios for ones from your workplace, add your logo, or remove parts that don't apply.

Your own details, each highlighted inside the course:
  • Link to your live session deck
  • Link your written supervisory procedures
Then edit anything else you like: wording, scenarios, your logo.
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Ready to run it?

Free. Copy the course, live deck and all three surveys into your AhaSlides account in one click.

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