Certificate in Stock Market Regulations
-- ViewingNowThe Certificate in Stock Market Regulations is a comprehensive course that provides learners with an in-depth understanding of the rules and regulations governing the stock market. This course is essential for anyone looking to build a career in the financial industry, as it covers the legal framework that governs stock market transactions and equips learners with the skills they need to ensure compliance with these regulations.
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GBP £ 140
GBP £ 202
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โข Introduction to Stock Market Regulations: Understanding the need for regulations, governing bodies, and the impact on the stock market.
โข Securities and Exchange Commission (SEC): Role, functions, and regulations set by the SEC.
โข Financial Industry Regulatory Authority (FINRA): Responsibilities, rules, and guidelines for broker-dealers.
โข Compliance and Enforcement: Importance of compliance, consequences of non-compliance, and enforcement actions.
โข Insider Trading Regulations: Definition, examples, and penalties for insider trading.
โข Capital Adequacy and Margin Requirements: Basel III, risk-based capital, and initial/maintenance margin requirements.
โข Public Offerings and Registration: Registration process, prospectus, and exemptions under Regulation D.
โข Anti-Money Laundering (AML) and Know Your Customer (KYC): AML/KYC regulations, customer identification programs, and suspicious activity reporting.
โข Market Manipulation and Fraud: Types of market manipulation, fraud, and market integrity.
โข Corporate Governance and Disclosure: Importance of corporate governance, financial reporting, and disclosure requirements.
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