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. 

Learning Objectives

Upon completion of this course, students will be able to:

  • understand customer suitability obligations
  • describe customer identification and privacy requirements
  • understand outside business activities

Designed For

Institutional broker-dealers

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