Conflict of Interest Course and Case Study
Conflicts of Interest Course and Case Study This continuing education module educates students on the obligations related to conflicts of interest and how registrants in the securities industry are required to address conflicts of interest. Students learn about the...
Opening New Accounts
Opening New Accounts This continuing education module educates students on the responsibilities and duties when dealing with new clients. Students learn about establishing the relationship with the client, completing the new account documents, setting up new accounts,...
Leverage Suitability Course and Case Study
Leverage Suitability Course and Case Study This continuing education module educates students on the suitability obligations related to leverage, where an investors borrows money in order to invest. Students learn about the leverage suitability obligation, how to...