Research Analysts and Investment Banking Business

by Securities Training Corporation Claim Listing

This module will follow a case study of an investment banking firm to observe the FINRA rules that have been violated.

Price : Enquire Now

Contact the Institutes

Fill this form

Advertisement

Securities Training Corporation Logo

img Duration

Please Enquire

Course Details

A 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.

  • New York Branch

    123 William Street 7th Floor, New York

Check out more Banking courses in USA

ACI Learning Logo

Risk Assessing Bank Operations Using Data Analytics (OAR220)

This course focuses on how to audit banking operations and ways to use data analytics to review credit, interest rate, liquidity, price, foreign exchange, transaction, compliance, strategic and reputation risks.

by ACI Learning [Claim Listing ]
Asian American Civic Association Logo

Banking & Finance

Do you love working with customers? AACA’s Careers in Banking and Finance course has been designed and developed in partnership with several of our banking partners. Through the partnership, we work in collaboration to assess the skills needed in the banking industry.

by Asian American Civic Association [Claim Listing ]
Philadelphia OIC Logo

BankWork

OIC Philadelphia's BankWork$ is a vocational training program tailored to provide both hard and soft skills needed to excel in the banking sector.

by Philadelphia OIC [Claim Listing ]
Cohen and Klein Consulting Logo

Retail Banking Operations Management

Retail Banking Operations Management training is offered by Cohen and Klein Consulting. Cohen & Klein Consulting, Inc. has recognized the growing need for various customized education and training in the U.S. and abroad.

by Cohen and Klein Consulting [Claim Listing ]
Integrity Solutions Logo

Banking Sales Training

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.

by Integrity Solutions [Claim Listing ]

© 2024 coursetakers.com All Rights Reserved. Terms and Conditions of use | Privacy Policy