This course will discuss the ethical issues that arise in connection with the work of the research analyst in the securities industry, and the regulatory response to these issues.
The presentation will be divided into two lessons:
- Lesson 1 - Research Analysts, Information Gathering and Regulation FD
- Lesson 2 - Analyst Conflict of Interest Rules and Qualification of Analysts
This course should give the student an understanding of the ethical questions associated with security analysis in the securities industry and the manner in which the industry has gone about answering them.
After completing this course, you should be able to:
- Define a ""research analyst" and discuss his role in the securities industry.
- Explain the difference between "buy-side" and "sell-side" analysts.
- Discuss the ethical issues presented in the areas of information gathering and conflict of interest.
- Discuss the problem of insider trading as it applies to research analysts.
- Describe Regulation FD and discuss its impact on research analysts.
- Discuss the "mosaic method".
- Describe Rule 2711 in some detail and understand its solutions to various conflicts of interest confronting research analysts.
- Describe the registration and qualification requirements for research analysts.
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