Training Course:Outside Business Activity and Selling Away Online CourseSchool/Trainer:Anthony Schools
Irvine,Oakland,San Francisco,San Diego, CA, United States
Course Format: Classroom | E-learning | Virtual Class | Online | On-site | Blended | Self-paced
Course Description:
'' In recent years, the topics of outside business activities and private securities transactions have received much attention in the securities industry. Additionally, numerous disciplinary actions have been brought against associated persons and their firms for failing to comply with rules governing outside business activities.
Outside Business Activities and Selling Away discusses NASD Rules 3010 and 3040, and details the definition and requirements for engaging in business activities away from the firm, as well as private securities transactions and selling away. This edition has been modified to take advantage of enhanced instructional design features that augment the students¡¯ on-line learning experience.
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Please go to the school's official website for training price and schedule:
http://www.dearborn.com/anthonynew/home.asp
http://www.dearborn.com/anthonynew/ins_sec_intro.asp?Category=InsSec
Phone:1-888-373-7277
School Address:
1-888-373-7277
Irvine
2646 Dupont Drive
Suite 230
Irvine, CA 92612
Oakland
7700 Edgewater Drive
Suite 540
Oakland, CA 94621
San Francisco
50 First Street
Suite 260
San Francisco, CA 94105
San Diego
5939 Balboa Ave.
San Diego, CA 92111
Jobs & Resumes: Irvine, Oakland, San Francisco, San Diego
Houses & Roommates: Irvine, Oakland, San Francisco, San Diego
Other training courses offered by Anthony Schools:
Dynamics of Customer Complaints Online Course
Ethics and Fiduciary Responsibility Online Course
General Ethics for the Securities Professional Online Course
General Supervision for Small Brokerage Offices Online Course
Gramm-Leach-Bliley Act Overview Online Course
Hedge Funds and Fund of Funds Online Course
Mutual Fund Asset Allocation Online Course
Mutual Fund FAQs Online Course
Mutual Fund Sales Practices Online Course
Mutual Fund Suitability Online Course
Private Placements Online Course
Recent Developments in NASD Regulation Online Course
Recommending Mutual Funds Online Course
Regulatory Update for Supervisors Online Course
Sarbanes-Oxley Act of 2002 Online Course
Soft Dollars, Directed Brokerage and Personal Trading Online Course
Suitability for the Institutional Market Online Course
Suitability for the Securities Professional Online Course
Supervising Registered Representatives: Case Studies in Suitability and Ethics Online Course
Notice: The course description on this page was captured from the Internet as historical reference or submitted by visitors. It was archived statically and not updated from day to day.
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