FINRA: Corporate and Government Bonds: Regulatory Considerations

Course Description

This course addresses some of the inherent risks associated with corporate and government bonds, including Treasury, agency and government-sponsored enterprise (GSE) bonds. It is designed to help you better understand risks, sales practice issues, rules and regulations related to these bonds.

Learning Objective(s)

By taking this course, you will:

  • Understand some of the regulatory issues involved in corporate, Treasury, agency and GSE bonds;
  • Recognize some of the inherent risks involved with buying, selling and investing in corporate, Treasury, agency and GSE bonds; and
  • Understand the rules and regulations related to corporate, Treasury, agency and GSE bonds.

Complexity

Intermediate