Training Course:Regulatory Update for Supervisors 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:
'' Regulatory Updates for Supervisors provides an overview of a number of key regulatory issues and recommends supervisory procedures and best practices to ensure compliance within firms. Issues addressed include: mutual fund sales practice violations, public communications rules, customer identification procedures, and books and records rule amendments. This course provides pertinent materials for all supervisory personnel in NASD member firms. ...''
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:
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
Outside Business Activity and Selling Away Online Course
Private Placements Online Course
Recent Developments in NASD Regulation Online Course
Recommending Mutual Funds 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
Supervising Registered Representatives: Ensuring Suitability Online Course
Supervision Issues for Limited Securities Representatives Online Course
Taxation of Mutual Fund Distributions and Sales Online Course
The Language of Investing 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Notice: The course description on this page was captured from the Internet as historical reference or submitted by visitors.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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