FINRA Compliance Compliance Issues for Investment Bankers (Interactive)

Compliance Issues for Investment Bankers (Interactive)

30.00 30.00

  • Course Delivery: On Demand
  • Duration: 2 


This course introduces the unique compliance challenges faced by broker/dealers in the investment banking industry. Specifically, this course covers the Securities Act of 1933, registration requirements, and FINRA rules. You will also learn about the components of a supervisory system and the importance of record keeping, among other things.


Course Objectives

At the conclusion of this course, you should be able to:

  • Define a principal and a registered representative.
  • Describe FINRA Conduct Rule 3010.
  • Outline private placement exemptions.
  • Paraphrase the components of a supervisory system.
  • Discuss the SEC rules relating to investment banking compliance.

Subject Matter Expert

This course is created and brought to you by 360training, a leading provider of accredited e-learning courses to working professionals through today's leading schools, associations and corporations. 360training's high-quality e-learning courses assist thousands of working professionals in a wide range of disciplines, helping them to succeed in today's marketplace, to renew licenses, to acquire certification or to prepare for a new profession.


End of Course Instructions

Upon successful completion of the course, you will be able to print a certificate of completion from your training page.


Quiz Information

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



The final exam must be passed successfully with 70% or higher in order to receive your certificate of completion.


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