1. USA
  2. Professional
  3. Accounting, Finance and Banking
  4. Banking

Investment Banking And Regulatory Agencies

by Banker's Academy Claim Listing

This course will provide the learner with an introduction to the various investment banking and regulatory agencies that s/he will encounter and need to understand while working at the organization.

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Course Details

This course will provide the learner with an introduction to the various investment banking and regulatory agencies that s/he will encounter and need to understand while working at the organization. After completing this course, the learner will understand the purpose and functions of the following agencies, among others:

  • The U.S. Securities and Exchange Commission (SEC).
  • The U.S. Federal Reserve.
  • The Office of the Comptroller of the Currency.
 
Outcomes:
  • T1. U.S. Securities and Exchange Commission: This topic will familiarize the learner with the various and extensive roles and responsibilities of the Securities and Exchange Commission (SEC), such as the SEC rulemaking process and by listing common violations that may lead to SEC investigations.
  • T2. U.S. Federal Reserve: This topic will familiarize the learner with the Federal Reserve (Fed) by explaining the structure of the Fed, how Reserve Banks work, and the differences between the three types of member banks.
  • T3. Financial Industry Regulatory Authority: This topic will familiarize the learner with the purpose and the goals of the Financial Industry Regulatory Authority (FINRA) and the areas of the securities business that FINRA affects.
  • T4. Office of the Comptroller of the Currency: This topic will familiarize the learner with the powers and objectives of the Office of the Comptroller of the Currency (OCC) and how the office relates to thrift charters.
  • T5. Federal Deposit Insurance Corporation: This topic will familiarize the learner with the Federal Deposit Insurance Corporation, its values, and the ways in which it insures and protects deposits in order to maintain public confidence.
  • T6. Commodity Futures Trading Commission: This topic will familiarize the learner with the role that the Commodity Futures Trading Commission (CFTC) plays in the effective oversight of the futures market.
  • T7. National Futures Association: This topic will familiarize the learner with the role and purpose of the National Futures Association (NFA) and what it means to be an NFA member.

With 30+ years of experience, Banker's Academy is the leading global provider of training solutions to the financial community. We specialize in BSA/AML, Compliance Officer, HR Professional, Teller and Branch Manager Training. 

We’re proud to have partnered with over 2,500 clients worldwide in various financial services industries, with a focus on banks, credit unions, and money service businesses. Let us help you reach your target audience with an innovative, results-driven educational experience.

 

Our Mission:

  • To excel as the premier provider of innovative training solutions to the financial industry, and remain the preferred partner of choice to our valued customers.

 

Our Values:

  • Honesty & Integrity. We believe in professionalism and honesty in all our working relationships. We hold ourselves accountable to the highest ethical and performance standards.

  • Passion & Excellence. We love what we do. Quality and excellence are at the core of our work, allowing us to provide exceptional products and services to our customers.

  • Leadership & Empowerment. We encourage leading by example, and empower our employees to make the right decisions, instilling a strong sense of confidence and corporate responsibility.

  • Collaboration & Respect. We prize a culture of participation and collaboration. We respect and encourage individual differences as they are part of our strength as a team.

  • Innovation & Adaptability. We foster a continuous learning culture that inspires creativity and innovation, allowing us to adapt and thrive in a growing global community.

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  • Port Washington Branch

    1300 Virginia Dr #220, Port Washington

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