This module will follow a case study of an investment banking firm to observe the FINRA rules that have been violated.
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.
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OIC Philadelphia's BankWork$ is a vocational training program tailored to provide both hard and soft skills needed to excel in the banking sector.
This online CPE training event is designed by an industry expert for the banking industry on bank employees committing fraud and how internal auditing need to respond.
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.
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.
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