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Firm Element Institutional Ethics: Surveying the Regulatory Landscape (Interactive)

Institutional Ethics: Surveying the Regulatory Landscape (Interactive)

25.00 25.00
$25.00
PRICE PER USER
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  • Course Delivery: On Demand
  • Duration: 2 

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Description


 

Course Objectives

At the end of this course, the student should be able to:
- Describe the major activity of the SEC.
- Outline the background of the SRO Proposed Rule.
- Contrast the internal and external concerns of the SEC about the SRO Model.
- Interpret the different investment analyst restrictions.
- Describe the Amendment to FINRA Rule 2830.

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