Overview
This course highlights the regulatory landscape for the institutional broker-dealer firm. It includes a review of Regulations D and A, customer confirmations, suitability, senior investors, outside business activities and private securities transactions and customer due diligence.
Learning Objectives
- Understand Regulation D and Regulation A
- Comprehend customer confirmation rules
- Apply suitability rules
- Navigate rules for outside business activities and private securities transactions
- Implement customer due diligence rules
Designed For
Institutional registered representatives
Find this course for your license:
License or Certification
Regulator
Type