Overview
This course highlights the regulatory landscape for the institutional broker-dealer firm. It includes a review of Regulations D and A, customer confirmations, suitability, senior investors, outside business activities and private securities transactions and customer due diligence.
Learning Objectives
Upon completion of this course you should understand:
- Regulation D and Regulation A
- Customer confirmation rules
- Suitability rules
- Outside business activities and private securities transactions rules; and
- Customer due diligence rules
Designed For
This course is intended for the institutional broker-dealer.
Find this course for your license:
License or Certification
Regulator
Type