Compliance Highlights, Volume 2


This course reviews corporate finance, dispute resolution, registration and disclosure, sanction guidelines, and financial responsibility for broker-dealers. The course includes review questions and concludes with a 10-question, multiple-choice exam.

Learning Objectives

Students who successfully complete this course will be able to:

  • understand corporate finance
  • describe dispute resolution
  • discuss registration and disclosure
  • understand sanction guidelines
  • understand financial responsibility

Designed For


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