FINRA Compliance The Dodd-Frank Wall Street Reform and Consumer Protection Act (Interactive)

The Dodd-Frank Wall Street Reform and Consumer Protection Act (Interactive)

30.00 30.00
$30.00
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  • Course Delivery: On Demand
  • Duration: 2 

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Description

This course will examine the Dodd-Frank Wall Street Reform and Consumer Protection Act ("Dodd-Frank", or the "Act") with an emphasis on those provisions of most immediate impact on thae securities business. For presentation purposes, the course is divided into two lessons:
Lesson 1 - Overview of Dodd-Frank
Lesson 2 - Dodd-Frank Impact on the Securities Industry

 

Course Objectives

At the conclusion of this course, you should be able to:
- Discuss "systemic risk."
- Describe the Financial Stability Oversight Council and its role.
- Discuss Dodd-Frank's response to systemic risk in banking institutions, the securities industry, and the derivatives market.
- Describe the "Volcker Rule."
- Discuss the Orderly Liquidation Authority.

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