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
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.
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.