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Firm Element Immediate Supervision of Research Analysts (Interactive)

Immediate Supervision of Research Analysts (Interactive)

25.00 25.00
$25.00
PRICE PER USER
$
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  • Course Delivery: On Demand
  • Duration: 1 

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Description

This course will focus on the supervisory responsibilities of broker-dealers with regard to research analysts. The presentation is divided into two lessons:

  • Lesson 1 - General Supervisory Requirements; Research Analysts; Qualification of Research Analysts
  • Lesson 2 - Regulation of Research Analysts; Supervisory Policies for Analysts

Got questions? Contact us below or call 877-881-2235

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