Laws and Regulation for the Broker-Dealer

Overview

This course provides an overview of various laws that affect the business of registered representatives and investment advisers.

Find this course for your license


License or Certification 

 

Regulator 

 

Type 

 


Objectives

  • Explain the key provisions and implications of the Bank Secrecy Act
  • Analyze the main components and impact of the USA Patriot Act
  • Describe the requirements and significance of the Sarbanes-Oxley Act
  • Evaluate the objectives and effects of the Dodd-Frank Act
  • Discuss the purpose and outcomes of the JOBS Act
  • Understand the principles and requirements of Regulation S-P

Designed For:

All registered representatives and principals




Course Information

Adding additional credit may change exam requirements.