Investment Advisers and Personal Securities Transactions

Overview

This course covers personal securities transactions and the investment adviser through a review of procedures, reporting requirements, reportable securities, and recordkeeping obligations of the investment adviser.

Learning Objectives

Students who successfully complete this course will be able to:

  • describe FINRA rules on personal securities transactions
  • understand the Securities Exchange Commission’s requirement for a Code of Ethics aimed at personal securities transactions, including restrictions and reporting requirements
  • understand the consequences for failure to follow these rules

Designed for

Investment Advisory

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