Laws and Regulation for the Broker-Dealer | WebCE

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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