This course is not available for sale.
Investment Representatives (IRs) operate in a highly regulated industry where the rules are extensive and often complex. The risk of doing the wrong thing is high and it is important that IRs know the rules and operate with integrity. This course will help students better understand the industry and the important role that IRs play. Students will come to know various types of wrongdoing and challenges to market integrity, as well as the many solutions the industry has developed to combat these problem areas and enhance market integrity. The course also includes new rules and guidance related to circuit breakers, Market-On-Close orders, and Dark Orders.
Investment representatives who are subject to CE requirements for compliance