Current Issues in Securities Regulation: Part 1

SKU: FIN6800

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About This Course

A comprehensive CLE course on a wide variety of issues related to FINRA regulations, its process, eligibility and compliance. The course will cover the rules governing alternative investments, REITS and private placements as well as the due diligence and industry practices when recommending specific securities. Common deficiencies noted during FINRA cycle examinations of institutional firms, and issues that result in a cautionary letter, facing compliance professionals, taking corrective action to respond to compliance issues as well as information regarding current and potential frauds. Advising specific types of investors, particularly seniors and those with diminished capacity will also be reviewed.

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