Training Course:Supervising Registered Representatives: Ensuring Suitability 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:
'' Registered representatives must ensure that their recommendations to customers are suitable, and it is the supervisor¡¯s responsibility to ensure that this is done. Supervising registered representatives means assuring that they fulfill their primary ethical duty to the public and to each prospective customer. This duty requires them to provide accurate information regarding investments in a fair and unbiased manner and to provide recommendations that are suitable to the needs of each customer. This course discusses methods to assure such compliance. ...''
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:
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: Case Studies in Suitability and Ethics 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Notice: The course description on this page was captured from the Internet as historical reference or submitted by visitors.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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