This course is intended to provide the reader with an understanding of regulatory and firmbased requirements for ethical dealings between institutional clients, their registered representatives, and their broker/dealer. Items that will be presented in this material include:
- A meaningful summary of SEC Rule 204a-1
- Definition of covered persons under the Rule
- A comprehensive review of a standardized format sample IA Code of Ethics that is being used in the industry
Subject Matter Expert
End of Course Instructions
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