Live Class Series 65 Live Class
August 24 - 28
12:00pm - 3:15pm ET
Break 1:30-1:45pm

Topics covered:

  • Business Cycles and Economic Factors
  • Fundamental Analysis
  • Types of Risk
  • Equity and Debt Securities
  • Investment Companies
  • Discounted Cash Flow
  • Derivatives
  • Alternatives and Insurance Products
  • Clients and Client Profiles
  • Capital Market Theory, Portfolio Management, and Taxation
  • Taxation of Debt and Equity Securities
  • Retirement Plans, ERISA, Special Accounts
  • Trading and Performance Measures
  • Regulations of Securities Professionals
  • Regulations of Securities and Issuers
  • Remedies and Administrative Provisions
  • Recordkeeping Requirements
  • Net Worth/Net Capital Requirements
  • Business Practices for IAs and IARs
  • Performance-based fees
  • Wrap fees
  • Custody
  • Communication with Clients and Prospects
  • Compensation and Client Funds
  • Conflicts of Interest

Price:
$299.00