This course has been developed to educate principals and administrative staff of investment banking broker/dealers on unique compliance challenges and how to address them before they result in inadvertent rule violations. Rule violations, whether intentional or not, often result in disciplinary action being taken by FINRA against the broker/dealer and its principals and may result in fines or suspensions.
This course covers the following topics: Lesson 1: Getting Started Lesson 2: Debt and Equity Financing Lesson 3: Managing Financial Assets Lesson 4: Legal Considerations Lesson 5: Accounting, Cost, and Financial Analysis Lesson 6: Taxes Lesson 7: Power Marketing Lesson 8: Operations Lesson 9: Managing Human Resources Lesson 10: Types of Businesses
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