Compliance Issues for Investment Bankers (Interactive)
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.
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.
Upon successful completion of the course, you will be able to print a certificate of completion from your training page.
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.
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.