Name: Compliance Issues for Investment Bankers Interactive
Brand: 360training.com
Price: 30 USD
Availability: InStock

Item No.: 360T003fa6bc8eb54ac19c52f9879ce1ce7a1a0b324b643849

Product Name: Compliance Issues for Investment Bankers Interactive

Brand: 360training.com | UPC: 11714731974459861176632225636101a0b324b643849e7833

Condition: New

Price:$30.00 Availability: In Stock
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Category: HR, Ethics & Compliance > Banking & Financial Compliance > FINRA Compliance

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Product Description:

This course introduces the unique compliance challenges faced by broker/dealers in the investment banking industry. Specifically, this course covers the Securities Act of 1933, registration requirements, and FINRA rules. You will also learn about the components of a supervisory system and the importance of record keeping, among other things.