Training Course:Supervising Registered Representatives: Case Studies in Suitability and Ethics 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:
'' The case focuses on the problems of an inexperienced branch manager and the procedural tactics involved with: handling a client whose account has been closed because of failure to maintain minimum margin; handling an inexperienced registered rep (and the client) when rapidly rising rates take a huge bite out of the clientĄ¯s fixed income portfolio; responding to an arbitration filing; handling an experienced registered rep whose client files a complaint about the performance of an allegedly unsuitable investment recommendation; meeting personal production goals while managing effectively; and correcting deficiencies inherited from the previous manager. ...''
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 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 Institutional Market Online Course
Suitability for the Securities Professional 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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