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Investment Banking Regulatory Agencies
Individual Licence (EUR 60)
€60.00
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Investment Banking Regulatory Agencies
€60.00
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Flexible returns
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Choose 5 or 10 licences to purchase access for multiple learners at a reduced per-person rate. After purchase, eBSI will contact you to confirm the learner details and arrange course access for each participant.
Develop practical knowledge and confidence in Investment Banking Regulatory Agencies.
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:
Why this course matters
This course turns the subject into practical, structured learning you can apply in real business and workplace situations. It is designed to help you move beyond definitions and understand how the ideas, tools and decisions covered in the course fit together.
What you will gain
- Build a practical understanding of the key concepts covered in Investment Banking Regulatory Agencies.
- Recognise where the topic applies in real workplace or business situations.
- Apply the methods and good-practice approaches covered in the course with greater confidence.
Who is this course for?
This course is suitable for professionals, managers, business owners and learners who want practical knowledge they can apply in real workplace situations.
Course at a glance
- Study time: approximately 2 hours.
- Format: self-paced online learning.
- Professional development: CPD course.
Course Outline
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 Topics
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.
Continue your learning
Part of this learning pathway: Compliance & Regulatory
Course pathway: eBSI Banking Academy > Compliance & Regulatory > Investment Banking Regulatory Agencies
Explore more Compliance & Regulatory training or return to the eBSI Banking Academy.