Function 1
Function 1: Seeking Business for the Broker-Dealer from Customers and Potential Customers
This course focuses on the strategies and regulations involved in identifying and engaging potential clients, as well as maintaining relationships with existing customers, all while adhering to industry standards and ethical guidelines.
- Prospecting and Client Acquisition: Learn effective techniques for seeking out new business, including identifying prospects, networking, and building relationships with potential clients.
- Maintaining Customer Relationships: Explore strategies for retaining and expanding relationships with existing clients, ensuring continued business and customer satisfaction.
- Regulatory and Ethical Considerations: Understand the regulations and ethical guidelines that govern solicitation, ensuring compliance with FINRA rules and maintaining a professional standard of conduct.
This course is designed for financial professionals involved in client acquisition and relationship management, providing them with the tools and knowledge to grow their business while staying compliant with industry regulations.
Module 1 covers the critical fundamentals of equity securities, including common and preferred stocks, rights, warrants, and REITs. You'll learn st...
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