Certificate in Securities: Regulatory Compliance
-- ViewingNowThe Certificate in Securities: Regulatory Compliance is a comprehensive course designed to prepare learners for a rewarding career in the financial services industry. This program focuses on essential regulatory compliance knowledge, ensuring that learners understand the rules and regulations that govern the securities industry.
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GBP £ 140
GBP £ 202
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โข Introduction to Securities Regulations
โข The Securities Act of 1933 and the Securities Exchange Act of 1934
โข Regulatory Authorities: SEC, FINRA, and State Securities Regulators
โข Registration and Exemption of Securities Offerings
โข Anti-Fraud Provisions and Insider Trading Regulations
โข Compliance and Reporting Requirements for Public Companies
โข Broker-Dealer Regulation and Compliance
โข Investment Adviser Regulation and Compliance
โข Supervision, Risk Management, and Internal Controls in Securities
โข Enforcement and Penalties for Securities Law Violations
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