Name | SKU | Description | Category | Additional data | ||
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Regulation R: Exceptions From Definition of Broker |
Seat Time: 0.25hrs - Desc: This course will introduce the learner to Regulation R, which was jointly adopted by the Securities and Exchange Commission (SEC) and the Federal Reserve Board (FRB). The course will describe for the learner the purpose of Regulation R and will also discuss conditions that must be satisfied for employees to receive compensation in an unlimited amount from a broker-dealer. After completing this program, the learner will understand:
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Compliance & Regulatory | ||||
Regulation S: Reimbursement to Financial Institutions for Providing Financial Records |
Seat Time: 0.5hrs - Desc: This course will introduce the learner to Regulation S, which implements the Right to Financial Privacy Act (RFPA). The learner will be instructed on how the RFPA protects customers' financial privacy. After completing this program, the learner will understand:
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Compliance & Regulatory | ||||
Regulation T: Credit by Brokers and Dealers |
Seat Time: 0.25hrs - Desc: This course will introduce the learner to Regulation T, which implements the Securities Exchange Act. The course will introduce the learner to the purpose of Regulation T as well to restrictions on extending credit. After completing this program, the learner will understand:
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Compliance & Regulatory | ||||
Regulation U: Margins, Credit Extended by Banks |
Seat Time: 0.25hrs - Desc: This course will introduce the learner to Regulation U, which deals with extending margin stock. The course will also discuss for the learner what qualifies as "margin stock" and "indirectly securing credit." After completing the program, the learner will understand:
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Compliance & Regulatory | ||||
Regulation W |
Seat Time: 0.25hrs - Desc: This course provides information about Regulation W, Transactions between Banks and Their Affiliates. This course will describe the provisions of sections 23A and 23B as well as the attribution rule and collateral requirements. Upon completion of this course, the learner will be able to:
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Compliance & Regulatory | ||||
Regulation X: Borrowers of Securities Credit |
Seat Time: 0.25hrs - Desc: This course will introduce the learner to Regulation X's relationship to Regulation T and Regulation U. The course will also discuss when Regulation X is applicable to purchasing securities credit and when a borrower is subject to Regulation X. After completing this program, the learner will understand:
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Compliance & Regulatory | ||||
Regulation YY |
Seat Time: 0.25hrs - Desc: This course will describe Regulation YY, which implements the Enhanced Prudential Standards and early remediation requirements mandated by Section 165 of the Dodd-Frank Act. This course will further explore the final enhanced prudential rule, capital requirements, and stress testing requirements. Upon completion of this course, the learner will understand:
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Compliance & Regulatory | ||||
Regulation Z: Truth in Lending (TILA) |
Seat Time: 3hrs - Desc: This course will introduce the learner to Regulation Z, which implements the Truth in Lending Act (TILA). The learner will be provided with a detailed overview of the ways in which TILA affects credit extensions and requires disclosures to be sent to consumers. After completing this program, the learner will understand:
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Compliance & Regulatory |