This module will follow a case study of an investment banking firm to observe the FINRA rules that have been violated.
DurationA FINRA member broker-dealer may not offer favorable research, a specific rating, or a specific price target for a security. Additionally, a broker-dealer is prohibited from changing research, a rating, or a price target as an inducement for receiving investment banking business.
A broker-dealer is also required to establish information barriers between its investment banking and research departments to prevent the spread of material, non-public information. These barriers will serve to protect the independence of the research analyst so that investors receive honest, unbiased research, which is untainted by conflicts of interest.
This module will follow a case study of an investment banking firm to observe the FINRA rules that have been violated.
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. Improve performance and transform the customer experience with Integrity Selling for Banking.
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.
Explore how banks and other financial institutions operate in a globalized world. Instruction includes an overview of monetary policy, central bank regulation processes, as well as the tools it employs.
By completing the ABA Certificate in General Banking curriculum, you’ll build a solid understanding of foundational concepts in the banking industry.
This Bank Analyst training program will take place in an interactive learning environment where you will learn the most important skills and tools to become a bank analyst, you will learn the Financial Systems
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