Advanced Certificate in Securities Regulations Fundamentals
-- ViewingNowThe Advanced Certificate in Securities Regulations Fundamentals is a comprehensive course that provides learners with an in-depth understanding of securities regulations and their importance in the financial industry. This course covers key topics such as the structure of the securities industry, regulatory bodies, and securities laws and regulations.
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⢠Introduction to Securities Regulations
⢠Federal Securities Laws and Regulations
⢠The Securities Act of 1933: Registration and Exemptions
⢠The Securities Exchange Act of 1934: Regulation of Broker-Dealers and Exchanges
⢠Regulation of Investment Companies and Investment Advisers
⢠Insider Trading and Regulation of Securities Analysts
⢠Securities Offerings: Private Placements and Regulation D
⢠The Sarbanes-Oxley Act and Corporate Governance
⢠International Securities Regulations and Compliance
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