Module 17: Other SEC and SRO Rules and Regulations
This course provides a comprehensive overview of the rules and regulations enforced by the Securities and Exchange Commission (SEC) and Self-Regulatory Organizations (SROs), ensuring you stay compliant in the securities industry.
- SEC Regulations: Understand the key SEC regulations that govern market conduct, disclosure requirements, and investor protection, such as the Securities Act of 1933 and the Securities Exchange Act of 1934.
- SRO Compliance: Learn the rules established by SROs like FINRA and the New York Stock Exchange (NYSE), focusing on standards for market behavior, trading practices, and member conduct.
- Regulatory Updates and Enforcement: Explore how regulatory updates are implemented and enforced to maintain fair and orderly markets, and the role of compliance in preventing violations.
This course is essential for individuals who need to navigate the complex regulatory landscape of the securities industry and ensure full compliance with SEC and SRO rules.
Module 17: Other SEC and SRO Rules and Regulations
Members only
This module covers the vital rules and regulations established by the SEC and SROs, essential for financial professionals. You'll learn about broke...
Membership