Firm Element Compliance Issues for Investment Bankers

Compliance Issues for Investment Bankers

25.00 25.00

  • Course Delivery: On Demand
  • Duration: 4 

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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.

Topics Covered

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



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)

Quiz Information

You will not be required to pass the quizzes to move on to the next lesson.


You will be required to pass the final exam with a 70% in order to receive course credit.

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