Investment Advisers and Personal Securities Transactions

Overview

This course covers personal securities transactions and the investment adviser through a review of procedures, reporting requirements, reportable securities, and recordkeeping obligations of the investment adviser. Please note this course does not meet the requirements of the NASAA IAR CE Model Rule that has been adopted by multiple states. This course does meet Firm Element requirements.

Find this course for your license

License or Certification

Regulator

Objectives

Students who successfully complete this course will be able to:

describe FINRA rules on personal securities transactions
understand the Securities Exchange Commission’s requirement for a Code of Ethics aimed at personal securities transactions, including restrictions and reporting requirements
understand the consequences for failure to follow these rules

Designed For:

Investment Advisory

Course Information

Adding additional credit may change exam requirements.

At WebCE, we are passionate about delivering exceptional professional development solutions. With world-class customer support and education to serve multiple professions, we're here to help professionals reach their career goals.

Quick Links

Catalog

Business Solutions

Blog

Special Offers

All Products

Information

Privacy

Business Continuity

Accessibility

Sitemap

Terms