Ethics in Institutional Sales (Interactive)
Enroll in Just This Course - $25.00
- Course Delivery: On Demand
- Duration: 1
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.
At the end of this course, the student will be able to:
- Describe the nature of ethical dealings with institutional clients.
- Recognize the SEC rules intended to regulate ethical behavior.
- Summarize the ethical concerns of having access to confidential, non-public information about specific securities and issuing firms.
- Evaluate the impact and limitations on the giving and receiving of gifts so as to limit influencing clients and prospective institutional clients.
- Describe the ethical issues that arise when conflicts of interest arise between an issuer and a research analyst (and their employing broker/dealer).
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)
Why Choose 360training.com?
- Fast and easy courses completion
- Get an education faster than at traditional colleges!
- 100% online - No classroom attendance required.
- Online customer support
- Over 500,000+ certified nationwide.
Got questions? Contact us below or call 877-881-2235
NOTE: Need Help? Are you an existing customer?
For all complaints or concerns Click here. For all sales enquiries, please fill out the form below.