Laws and Regulation for the Broker-Dealer

Overview

This course provides an overview of various laws that affect the business of registered representatives and investment advisers.

Learning Objectives

Students who successfully complete this course will be able to:

  • understand the Bank Secrecy Act
  • understand the USA Patriot Act
  • understand Sarbanes-Oxley
  • understand Dodd-Frank
  • understand the JOBS Act
  • understand Regulation S-P

Designed for

All registered representatives and principals

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