The nature and extent of ethics-oriented federal regulation of the securities industry is in the process of profound change. This course is an overview of the most significant regulatory developments from 2003 to date. We begin with three far-reaching pronouncements of the Securities and Exchange Commission (SEC), involving self-regulatory organizations (SROs) and registered adviser ethics. That material is examined most thoroughly, since it offers direct insight into the securities regulator's mindset. (SROs include the national securities exchanges and registered securities associations.)
This course covers the following topics: Lesson 1: Due Diligence Lesson 2: Valuation Concepts and Standards
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