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
- 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
Find this course for your license:
License or Certification
Regulator
Type