Overview
This course highlights select industry priorities and familiarizes learners with resources and methods for staying current on their own.
Learning Objectives
- understand the role of a trusted contact person
- learn about regulatory events reporting
- gain knowledge on private placements
- master effective communications with the public
- ensure best execution practices
- understand segregation of assets and customer protection
- learn about portfolio margin and intraday trading
Designed For
Registered Representatives
Prerequisites
None
Find this course for your license:
License or Certification
Regulator
Type