Course Title:

Compliance Issues for Investment Bankers. 2017


Online Institute of America

Lakeway, Texas, United States

Course format: Online

Investment Banking Broker/Dealers are often small boutique broker/dealers which conduct business as “limited broker/dealers.�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 (“SEC�, the National Association of Securities Dealers, Inc. (“NASD� and the various state regulatory jurisdictions, as their larger industry brethren. This often creates unique compliance challenges for the Investment Banking Broker/Dealer. .

This course has been developed to educate Principals and Administrative Staff of Investment Banking Broker/Dealers on these unique compliance challenges and how to address them before they result in inadvertent rule violations. Rule violations, whether intentional or not, often result in disciplinary action being taken by the NASD against the broker/dealer and its principals and may result in fines or suspensions.

�Registration requirements for persons engaged in private placement activities.
•Supervisory responsibilities of principals associated with investment banking broker/dealers.
•Recordkeeping responsibilities of investment banking broker/dealers.
•Common mistakes / “Pitfalls�that investment banking broker/dealers often make which result in rule violations and disciplinary actions.
•Net capital issues effecting investment banking broker/dealers.



Lesson 1: Registration Requirements.

Lesson 2: Supervisory Responsibilities.

Lesson 3: Recordkeeping Responsibilities.

Lesson 4: Private Placement Pitfalls.


Elements of this syllabus are subject to change.

Please visit the school's official website or social networks for the latest training price and schedule.

Phone No.: 1-877-251-4387

School Address/Venue(s):

Online Institute of America
4321 Lakeway Blvd
Lakeway, TX 78734

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