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Investment Banking Regulatory Agencies - eBSI Export Academy
Investment Banking Regulatory Agencies - eBSI Export Academy
Investment Banking Regulatory Agencies - eBSI Export Academy
Investment Banking Regulatory Agencies - eBSI Export Academy
Investment Banking Regulatory Agencies - eBSI Export Academy
Investment Banking Regulatory Agencies - eBSI Export Academy

Investment Banking Regulatory Agencies

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Vendor
Bankers Academy
Regular price
€75.00
Sale price
€75.00
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Seat Time: 1.75hrs 

This course will provide the learner with an introduction to the various investment banking and regulatory agencies that s/he will encounter and need to understand while working at the organization. After completing this course, the learner will understand the purpose and functions of the following agencies, among others:

  • The U.S. Securities and Exchange Commission (SEC).
  • The U.S. Federal Reserve.
  • The Office of the Comptroller of the Currency.

 

Course Overview

 

Course Contents

T1. U.S. Securities and Exchange Commission: This topic will familiarize the learner with the various and extensive roles and responsibilities of the Securities and Exchange Commission (SEC), such as the SEC rulemaking process and by listing common violations that may lead to SEC investigations.

T2. U.S. Federal Reserve: This topic will familiarize the learner with the Federal Reserve (Fed) by explaining the structure of the Fed, how Reserve Banks work, and the differences between the three types of member banks.

T3. Financial Industry Regulatory Authority: This topic will familiarize the learner with the purpose and the goals of the Financial Industry Regulatory Authority (FINRA) and the areas of the securities business that FINRA affects.

T4. Office of the Comptroller of the Currency: This topic will familiarize the learner with the powers and objectives of the Office of the Comptroller of the Currency (OCC) and how the office relates to thrift charters.

T5. Federal Deposit Insurance Corporation: This topic will familiarize the learner with the Federal Deposit Insurance Corporation, its values, and the ways in which it insures and protects deposits in order to maintain public confidence.

T6. Commodity Futures Trading Commission: This topic will familiarize the learner with the role that the Commodity Futures Trading Commission (CFTC) plays in the effective oversight of the futures market.

T7. National Futures Association: This topic will familiarize the learner with the role and purpose of the National Futures Association (NFA) and what it means to be an NFA member.