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Understanding the Rules of NASD
Professional Development
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This course provides a thorough introduction to NASD rules and regulations that govern broker/dealers and registered representatives. Amongst the policies that are examined in this course are Conduct Rules; the Code of Arbitration, Mediation, and the Code of Procedure; and NYSE rules. NASD also stipulates standards for Public Communication, OTC markets, how to process orders, and back office functions. “Understanding the Rules of NASD” addresses all of these issues in detail, and provides you with knowledge that you will use throughout your career.
TOPICS COVERED:
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INTRODUCTION
- LESSON 1: SRO RULES ON REGISTERED REPRESENTATIVES
- LESSON 2: THE NASD AND CONDUCT RULES
- LESSON 3: CONDUCT RULES (CONT'D)
- LESSON 4: CONDUCT RULES (CONT'D)
- LESSON 5: CODE OF ARBITRATION, MEDIATION, AND CODE OF PROCEDURE
- LESSON 6: NYSE RULES
- LESSON 7: STANDARDS FOR PUBLIC COMMUNICATIONS
- LESSON 8: THE SIPC AND SIC
- LESSON 9: THE OTC MARKETS
- LESSON 10: PROCESSING ORDERS
- LESSON 11: BACK OFFICE FUNCTIONS
- LESSON 12: SETTLEMENT
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LEARNING OBJECTIVES:
- Understand the function and importance of NASD as a regulatory body.
- Identify and apply the NASD Conduct Rules.
- Be familiar with the Code of Arbitration, Mediation, and the Code of Procedure.
- Recognize key NYSE rules.
- Understand the NASD Standards for Public Communications.
- Identify and understand the function of the SIPC and SIC.
- Be able to understand the operation procedures for OTC markets.
- Know the procedures for processing orders.
- Realize the importance of back office functions.
- Identify settlement procedures and ex dates
This is a professional development course and cannot be used as real estate licensing or real estate continuing education.
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