A course offered by the CSI
, required for registration as an investment advisor
. The Conduct and Practices Handbook is a big fat book of all the rules and regulations surrounded being licensed as an investment
advisor. Every RR
must sign a form saying they have read it thoroughly and agree to abide by it, and new registrants must pass this course to demonstrate their understanding. (I make the distinction because there are some RR
s who haven't had to take the course because their licenses were grandfathered
, though they still have to abide by the rules contained therein, of course, since they are laws.)
The course text is the actual Handbook, along with a workbook. There are no assignments, just an exam.