Compliance Issues for Investment Bankers. 2017NEWSchool/Trainer:Lakeway, Texas, United States
Course format: Online
Investment Banking Broker/Dealers are often small boutique broker/dealers which conduct business as â€ślimited broker/dealers.â€?These firms do not typically handle customer funds or securities in the same way a traditional brokerage firm would, yet Investment Banking Broker/Dealers are still subject to the same securities rules and regulations imposed by the U.S. Securities Exchange Commission (â€śSECâ€?, the National Association of Securities Dealers, Inc. (â€śNASDâ€? and the various state regulatory jurisdictions, as their larger industry brethren. This often creates unique compliance challenges for the Investment Banking Broker/Dealer. .
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Compliance Issues for Investment Bankers.