Anthony Schools
Irvine,Oakland,San Francisco,San Diego, CA, United States
http://www.dearborn.com/anthonynew/home.asp

Hedge Funds and Fund of Funds Online Course

Traditionally, hedge funds have only been available to accredited investors. Recently, they have been gaining wider distribution through inclusion in fund of funds. Hedge Funds and Fund of Funds discusses the history and philosophy of as well as mutual funds that invest in hedge funds available to nonaccredited investors. In addition, it discusses trading strategies employed by hedge funds, the......
 

This course identifies the basic provisions of the Gramm-Leach-Bliley Act and its sweeping impact on the financial services industry. It describes the newly defined financial holding company (FHC) structure and allowable financial activities, and highlights the registration provisions newly applicable to banks due to repeal of certain provisions of the Glass-Steagall Act. This course will benef......
 

A summary of supervisory practices for the small broker-dealer is provided in this lesson. Relevant issues such as recordkeeping, advertising, and supervisory procedures are addressed. Major topics include: Regulatory Background New Account Review Transaction Review Other Reviews Credit Review Order Errors Account Documentation Correspondence Customer Orders vs. Employee Orders......
 

General Ethics for the Securities Professional provides the foundation of knowledge and understanding an individual needs to function ethically in his role as a registered representative. Ethics and suitability are cornerstones of the public¡¯s trust in the Securities industry. After completing this Dearborn continuing education course, the student will understand the framework and expectation......
 

Investment professionals are in a position of trust. As a result, they often have a fiduciary duty to clients and prospects, as well as professional and ethical responsibilities to their employers and the investing public. The investment industry has developed ethical standards and practices designed to ensure that investment professionals comply with the demands and responsibilities of this ......
 

This continuing education course outlines the regulatory concerns and procedures regarding customer complaints. Key course highlights include a discussion of the definition of customer complaint reporting in the context of NASD Rule 3070 and NYSE Rule 351,the top five major sales practice complaints reported to the NASD, circumstances involving complaints that require Form U-4 amendment, and th......
 

Customer Identification and Verification Procedures provides analysis of requirements for compliance with Section 326 of the USA Patriot Act as finalized in July 2003. This course specifically addresses provisions that pertain to broker/dealers and is an excellent and timely training component for all persons subject to a firm¡¯s anti-money laundering (AML) training program. Topics include: cr......
 

Learn about the recent developments in the delivery of research, including SIA Best Practices for Research, potential conflicts of interest, and suggested pro-active compliance measures in an easy-to-use, comprehensive online format. The course also includes a 20 question exam. Topics include: Current Research Regulation Research Objectives Recent Reaction to Research Activity ......
 

In this course, the prohibited practices of churning and unauthorized trading are defined and explored. Relevant NASD regulation and compliance procedures are discussed....
 

This continuing education course is designed to refresh Branch Managers on the technical requirements governing supervisory activities. Key topics include hiring good employees, enforcing suitability, preventing prohibitive practices, ensuring compliant communication, addressing client complaints, and record-keeping requirements This course will heighten awareness of the Branch Manager¡¯s ro......
 

NASD Rule 3010 deals with the supervision of a broker/dealer¡¯s associated persons, and requires every member firm to establish and maintain a supervisory system that should be reasonably designed to achieve compliance with securities industry rules. Branch Office Audits identifies critical areas of regulatory attention in recent NASD branch office audits, and suggests proactive measures and pro......
 

What is the best way to explain a bear market and its impact on customer statements? This course reviews the definition of a bear market and offers tips on how to explain down markets and bear market investment philosophies to customers. Evidence of performance is required to meet one or more regulatory requirements. Successful completion of the 20 question exam confirms completion of course. ...
 

Buying on margin is a common practice in the securities industry. Long, short, and combined margin accounts are discussed in this practical course that details the margin accounting process. Regulation T and SRO minimum requirements, as applied to margin accounts, are explained in detail. The 2nd edition has been generally updated and modified, taking advantage of enhanced instructional design ......
 

This course covers the basic instruments of equity investing, such as common stock, preferred stock, American Depository Receipts, rights and warrants....
 

This online continuing education course is designed to familiarize the financial services professional with fundamentals of covered call writing strategies and ROI tax reporting. The course is divided into three major modules (excluding the introduction to the course). Concrete examples are used to demonstrate covered call writing transactions. To reinforce the subject matter, users are quizzed......
 

Fixed income securities offer investors both income and capital gain opportunities. In addition to introducing different features of government, municipal, and corporate debt instruments, this course examines the inverse relationships among interest rates, secondary market pricing, and other trading characteristics. The 2nd edition has been generally updated and modified, taking advantage of en......
 

This continuing education course will help you meet the demands of Federal money laundering legislation (Bank Secrecy Act, Annunzio-Wiley Act) and Office of Foreign Assets Control (OFAC) regulations. The course also focuses on Know Your Customer (KYC) program parameters, report filing, and broker-dealer anti-money laundering programs....
 

The Patriot Act, U. S. Criminal Code, U. S. Treasury and FinCEN requirements are all reviewed in this course, which provides a comprehensive summary of the various regulations that affect broker-dealers in establishing effective anti-money laundering programs. This course is an excellent choice for satisfying organization-wide AML training requirements....
 

Mutual funds are faced with specific areas of risk in guarding against money laundering. This course identifies high-risk areas and recommends compliance practices to aid in establishing a sound anti-money laundering program. Critical SRO, SEC, and US Treasury regulations are also reviewed....
 

The new single stock futures product requires that traditional stockbrokers obtain a fundamental understanding of futures products and the markets in which they trade. This course provides a basic introduction and a case study that portrays opportunities and challenges associated with trading futures. Evidence of performance is required to meet one or more regulatory requirements. Successful ......
 

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