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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Integrity Selling for Banking is a comprehensive bank sales training solution that positively impacts attitudes and beliefs about selling, while supporting the consistent application of customer-focused sales behaviors.
This course is designed to provide participants with a structured approach to analyzing the credit risk of developed market, commercial and universal banks and the skills to make an independent assessment of the strengths and weaknesses of a bank.
Financial institutions are unlike any other business. To someone new to the world of banking, it can seem puzzling. However, financial institutions play a key role in maintaining thriving communities and economies.
. 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.
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