Options Markets: Recent Regulatory Issues

SKU: SEC023

CLE Courses Available on DVDs, Audio CDs, Online & iOS/Android App

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About This Course

Join FINRA staff and industry panelists as they discuss regulatory issues impacting options markets.

After attending this session, you will be able to:

  • Discuss recent and ongoing regulatory initiatives
  • Discuss supervision of options trading in customer accounts
  • Identify effective controls, procedures, and technology processes

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App and DVD options

CDs, DVDs, Online, iOS & Android App

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