Current Issues in Securities Regulation: Part 1

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SKU: FIN6800
All Courses Available iOS/Android Web

All Courses Available iOS/Android Web

About This Course

A deep dive into issues related to FINRA, this CLE course will explain the rules governing alternative investments, REITS and private placements as well as possible suitability risks. Due diligence and industry practices for recommending specific securities, particularly to seniors and those with diminished capacity, will be reviewed. Issues related to deficiencies during the FINRA cycle, facing compliance professionals, taking corrective action, particularly as a result of a cautionary letter and information regarding fraud in these arenas will all be discussed in detail.
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