Training Course:Suitability for the Institutional Market 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:
'' Historically, institutional investors have not been extended the same suitability considerations as retail customers. NASD Rule IM-2310-3 addresses reasonable basis suitability and customer specific suitability as applied to institutional investors. This course reviews these rules and associated compliance considerations, citing several actual situations to emphasize key points.
Evidence of performance is required to meet one or more regulatory requirements. Successful completion of the 20 question exam confirms completion of course.
...''
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 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
Soft Dollars, Directed Brokerage and Personal Trading 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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