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FRM is a rigorous 2-part exam offered by the Global Association of Risk Professionals (GARP). STC has partnered with AnalystPrep to offer aspiring financial professionals the #1 FRM exam prep learning platform on the market.?
FRM is a rigorous 2-part exam offered by the Global Association of Risk Professionals (GARP). STC has partnered with AnalystPrep to offer aspiring financial professionals the #1 FRM exam prep learning platform on the market.?
This module provides an overview of the investment advisory business and also examines the process by which a person can become licensed as an investment adviser representative (IAR).
This module will follow a case study of an investment banking firm to observe the FINRA rules that have been violated.
Since the late 1990s, the U.S. securities industry has utilized the Order Audit Trail System (OATS) to simplify an order’s progression from its initial receipt to its eventual execution or cancellation, for tracking or auditing purposes.
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