Online | The Firm Rules: Policies to Mitigate Risk

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This online course is currently in development.  Click below to request an email notification when it becomes available.

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REGISTRATION: $295.00 / $145 for CRB Designees


CRB CREDIT: An 80% score on the course exam is required for credit towards the CRB designation.  Click here for more information on the designation and requirements.

CE CREDIT: There is no continuing education (CE) available for this online course offering.


Company policies are essential to mitigate risk and limit liability. This course provides a checklist of items that should be included in a policy manual and introduces options for each component.  From federal mandates, state regulations and Code of Ethics compliance to employment laws, data security, and brokerage policy options, you’ll come away with a clear understanding of what should be addressed.

Topics covered:

  • Policy manual components and categories.
  • Federal employment laws and HR policies.
  • Technology security and data protection.
  • Policies for independent contractors.
  • Broker transaction policies.
  • Appropriate and inappropriate brokerage policies.
  • State license law regulations that should be included in a policy manual.
  • Other brokerage policy options to be considered and addressed to reduce risk.

EXPIRATION:

You will have access to this course for on this site 365 days from the date of purchase.  After one year, the course will expire and no extensions will be given.  If you do not complete the course and pass the exam during this timeframe, you will need to repurchase the course at full price and re-start.


CANCELLATIONS / REFUNDS: 

All online / self-study course registrations are non-refundable and non-transferable.

Please review the following requirements and be sure your system and networks are up to date. 

General Recommendations: 

  • Your browser must support HTML-5. To test and detect your browser version, go to html5test.com
  • Use a PC or MAC with a current, updated Browser.
  • Disable popup blockers in your web browser settings
  • Wifi is not recommended. WiFi signal strength can vary causing bandwidth to increase or decrease.  A wired connection gives a consistent signal and consistent bandwidth providing a better experience. 
  • There is audio (sound) with this course. Be sure your computer is equipped with speakers and they are not muted.

System Requirements for the Best Experience:

  • 2 GHz Dual Core CPU Processor or faster 
  • 4 GB RAM (Greater than 4 GB is a benefit)
  • Windows 10 or later
  • Mac OS X 10.14 or later
  • iOS 12 or later
  • Wired Internet connection

Browser Requirements:

  • Chrome, Firefox and Edge are continuously updated by their publishers.  For the best experience, use the most current version.
  • Current versions of Chrome 
  • Current versions of Firefox 
  • Current versions of Edge
  • Safari 14 or later


Key:

Complete
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Workbook
Download PDF document prior to start. You must register to access.
Online Course
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Exam / Quiz
An 80% score on this 30 question exam is required. You will have two attempts to pass. Additional attempts can be purchased for US $25. Please contact us if you wish to purchase additional attempts. You must register to access.
Evaluation / Survey
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Completion Certificate
IMPORTANT NOTE: This certificate denotes the completion of this course. It DOES NOT confer the associated credential. You must register to access.
Earn the CRB Designation