Firm Element Ethics in Institutional Sales

Ethics in Institutional Sales

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 provides the student with an understanding of regulatory and firm-based requirements for ethical dealings between institutional clients, their registered representatives, and their broker/dealer.
 

Prerequisites

n/a
 

End of Course Instructions

Congratulations! You have successfully completed your online course; you may now print your certificate(s) online from your default login page (you may need to refresh this page)
 

Quiz Information

You will not be required to pass the quizzes to move on to the next lesson.
 

Exams

You will be required to pass the final exam with a 70% in order to receive course credit.

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