Dec 30, 2024  
2023 Graduate Catalog 1.1 (WINTER-SPRING) 
    
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2023 Graduate Catalog 1.1 (WINTER-SPRING) [ARCHIVED CATALOG - Consult with Your Academic Advisor for Your Catalog Year]

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FCM 648 - Advanced Issues in Regulatory Surveillance and Policy Development (3)

Focus will be on the US Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) registered investment advisers (RIAs) and broker dealers (BDs). The topics covered will include: Compliance and Program Management, Polcies and Procedures, Surveillance and Testing, Regulatory Risk Management, Registration and Regulatory Filings, and Books and Records. Background knowledge will be provided to prepare students for in-depth coursework in these areas.


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