Regulatory Landscape for the Institutional Broker-Dealer, Vol. 2

Overview

This course highlights the regulatory landscape for the institutional broker-dealer firm. It includes a review of Regulations D and A, customer confirmations, suitability, senior investors, outside business activities and private securities transactions and customer due diligence. 

Learning Objectives

Upon completion of this course you should understand:

  • Regulation D and Regulation A
  • Customer confirmation rules
  • Suitability rules
  • Outside business activities and private securities transactions rules; and
  • Customer due diligence rules

Designed For

This course is intended for the institutional broker-dealer. 
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