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
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