Institutional: Regulatory Landscape, Vol. 3
Overview
There are many rules and regulations that govern conduct for the institutional broker-dealer. This course discusses recent rules and regulations that have been the focus of regulators and discusses their impact on you and your dealings with institutional customers.
Find this course for your license
License or Certification
Regulator
Type
Learning Objectives
- Understand the Anti-Money Laundering Regulations, including The Bank Secrecy Act and The USA Patriot Act
- Comprehend Communications Rules
- Grasp Cybersecurity and Regulation S-P
- Explain Regulation Best Interest
- Describe the SECURE Act
Designed For:
Institutional registered representatives
Course Information
Adding additional credit may change exam requirements.
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