Regulatory Landscape for Institutional Broker-Dealers
Overview
This course highlights the regulatory landscape for the institutional broker-dealer firm. The course includes a review of suitability, customer identification procedures, and outside business activities.
Find this course for your license
License or Certification
Regulator
Type
Learning Objectives
- Understand customer suitability obligations
- Describe customer identification and privacy requirements
- Understand outside business activities
Designed For:
Institutional registered representatives
Course Information
Adding additional credit may change exam requirements.
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S2-31 - Framework