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

• 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

All registered representatives and principals