Compliance for the Securities Industry

ITEM RGCO0206

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Compliance for the Securities Industry

The structure and function of the legal and compliance department of a broker-dealer is examined in light of the overall regulatory environment in the US.

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Curriculum

What you'll learn

Who should take this

Module 1: Regulatory Structure

Broker-Dealer Regulatory Structure
SRO Rulemaking
Broker-Dealer Structure

Module 2: Broker-Dealer Regulation

Net Capital
Customer Protection
Licensing
Supervision
Margin/Credit Rules
Regulation SHO

Module 3: Capital Markets Compliance

Underwriting
Regulation M
Rule of NASD
After-market Activities
Conflicts of Interest

Module 1: Sales Practice/Supervision

Suitability
Churning
Options Fraud

Module 2: Supervision

Federal Scheme
SRO Scheme

Module 3: Compliance

Written Supervisory Procedures
Internal Controls
CEO Certification/CCO Designation

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5 months (20% off) - $477.80

3 months (10% off) - $238.90

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Compliance for the Securities Industry

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$2,389.00

Summary

Compliance for the Securities Industry

Please complete this form and a NYIF Career Advisor will assist you.

Please fill in the field.

Please complete this form and a NYIF Career Advisor will assist you.

Please fill in the field.

Please complete this form and a NYIF Career Advisor will assist you.

Please fill in the field.

Please complete this form and a NYIF Career Advisor will assist you.

Please fill in a valid email and phone number.

Select preferred contact method

Please fill in the field.

Where Wall Street Goes to SchoolTM!

Please select a time and date from the calendar to book a 15-minute call with a NYIF Career Advisor.

You can also reach us on +1 347 842 2501 or marketing@nyif.com

Something went wrong, please try again later!

Compliance for the Securities Industry

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Flexible payments

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