Institutional Ethics: Surveying the Regulatory Landscape (Interactive)
Enroll in Just This Course - $25.00
- Course Delivery: On Demand
- Duration: 2
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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