Training Course:Soft Dollars, Directed Brokerage and Personal Trading 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:
'' This online continuing education course is designed to familiarize the financial services professional with the soft dollar compliance issues and the procedures involved in brokerage services. To reinforce the subject matter, users are quizzed with embedded questions in each module and a 20-question final exam.
Soft Dollars, Directed Brokerage and Personal Trading cover topics including: Soft dollars arrangements, Section 28(e) of the Securities Exchange Act of 1934, use of soft dollar research and brokerage services, mixed-use products and services, and soft dollar compliance issues; Directed brokerage and principals of conduct for directed brokerage; and Personal trading practices, conduct for B-Ds and investment managers, investment company practices required for implementation in 2000.
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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:
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
Regulatory Update for Supervisors Online Course
Sarbanes-Oxley Act of 2002 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
Turbulent Markets: Understanding and Withstanding Market Risk Online Course
Variable Annuity Suitability Issues 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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