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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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