Employee Conduct and Reportable Events

Pair listening with reading

Follow along with
the written unit.

Listen at your own pace, then use the matching lesson to revisit the details. The written material includes:

• Form U4 and Form U5
• Consequences of Misleading Information or Omissions
• Customer Complaints
• Potential Red Flags
• Outside Business Activities (OBAs)
• Private Securities Transactions (Selling Away)
• Political Contributions (Pay-to-Play Rules)
• Gifts, Gratuities, and Non-Cash Compensation
• Reportable Events

Put this episode into practice with adaptive questions and flashcards in the full SIE course.