Courses
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Series 27 – Module 12: Final Review and Practice Exam
This module covers the vital rules and regulations established by the SEC and SROs, essential for financial professionals. You'...
Series 27 – Module 11: Regulatory Framework – SEC, FINRA, MSRB, and Other Rules
This module covers the vital rules and regulations established by the SEC and SROs, essential for financial professionals. You'...
Series 27 – Module 10: Ethics, Fraud Prevention, and Financial Integrity
This module covers the vital rules and regulations established by the SEC and SROs, essential for financial professionals. You'...
Series 27 – Module 9: Risk Management and Business Continuity Planning (BCP)
This module covers the vital rules and regulations established by the SEC and SROs, essential for financial professionals. You'...
Series 27 – Module 8: Handling Margin Accounts and Financing Activities
This module covers the vital rules and regulations established by the SEC and SROs, essential for financial professionals. You'...
Series 27 – Module 7: Anti-Money Laundering (AML) Requirements for Financial Operations
This module covers the vital rules and regulations established by the SEC and SROs, essential for financial professionals. You'...
Series 27 – Module 6: Supervision of Financial Controls and Internal Audits
This module covers the vital rules and regulations established by the SEC and SROs, essential for financial professionals. You'...
Series 27 – Module 5: Regulatory Reporting – FOCUS Reports, Annual Audits, and More
This module covers the vital rules and regulations established by the SEC and SROs, essential for financial professionals. You'...
Series 27 – Module 4: Books, Records, and Reporting Requirements
This module covers the vital rules and regulations established by the SEC and SROs, essential for financial professionals. You'...