Regulation & Compliance

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  1. Series 79 Exam Prep Package: Online

    English Introductory

    Prepare to pass the Series 79 Exam with 65 hours of online study materials cover...

    65 Hours
    $349.00
    $349.00
  2. Series 63 Exam Prep Package: Online

    English Introductory

    Prepare to pass the Series 63 Exam with 45 hours of online study materials cover...

    45 Hours
    $149.00
    $149.00
  3. Series 66 Exam Prep Package: Online

    English Introductory

    Prepare to pass the Series 66 Exam with 56 hours of online study materials cover...

    56 Hours
    $185.00
    $185.00
  4. Series 7 Exam Prep Package: Online

    English Introductory

    Prepare to pass the Series 7 Exam with 78 hours of online study materials coveri...

    78 Hours
    $289.00
    $289.00
  5. Data Governance in Financial Services & the Impact of Global Regul...

    English Professional

    Driven by the massive increase in the global regulatory environment, this is a c...

    1 Day
    $1,019.00

    From $815.20

    To $713.30

  6. Customer Protection Rule 15C3-3 - Online

    English Professional

    Learn how the three main purposes of the Rule 15C3-3 protect customer interests ...

    5 Hours
    $449.00
    $449.00
  7. Brokerage Operations Professional Certificate: Online

    English Introductory

    This course will provide you with the baseline knowledge of the entire trade lif...

    20 Hours
    $1,299.00
    $1,299.00
  8. Online Professional Certificate in Operations and Compliance

    English Professional

    Learn the latest developments in trade processing and systems that enable firms ...

    72 Hours
    $1,800.00
    $1,800.00
  9. Dodd-Frank Act

    English Introductory

    This course provides the key information about the financial reforms that are co...

    1 Hours
    $50.00
    $50.00
  10. Trading Index Options

    English Introductory

    Learn the ins and outs of index option trading with both cash and margin account...

    1 Hours
    $89.00
    $89.00
  11. Cash Account Option Transactions

    English Professional

    Learn about trading long and short options in cash accounts....

    1 Hours
    $89.00
    $89.00
  12. International Operations

    English Introductory

    Illustrate the developments in brokerage operations outside the US and in emergi...

    1 Hours
    $89.00
    $89.00

Items 1-12 of 27

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