Market Regulation Priorities: Detecting and Preventing Misconduct

Accreditation Wreath Icon AL
SKU: FIN5500
All Courses Available iOS/Android Web

All Courses Available iOS/Android Web

About This Course

This timely CLE course provides much needed updates on market regulation priorities as well as current initiatives and rule-making. The course will help you to understand market regulations initiatives and priorities, FINRA’s market regulation examination priorities and disciplinary action regarding equities, fixed income and options markets.
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