Holiday Hours

In observance of Memorial Day, WebCE Support Services hours will be:
Fri, May 24th: 7:00am-7:00pm CST | Sat, May 25th: 10:00am-3:00pm CST | Sun May 26th - Mon May 27th: Closed

We will resume our regular hours of 7:00am-7:00pm CST on Tues May 28th, Online catalogs and course delivery will be available without interruption.

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. 

Learning Objectives

Upon completion of this course, you should understand:

  • The Anti-Money Laundering Regulations such as The Bank Secrecy Act and The USA Patriot Act;
  • Communications Rules;
  • Cybersecurity and Regulation S-P;
  • Regulation Best Interest; and
  • The SECURE Act.

Designed For

Institutional Registered Representatives 

Find this course for your license:

License or Certification

Regulator

Type