Professional Certificate in Security Exchange Laws
-- ViewingNowThe Professional Certificate in Security Exchange Laws is a comprehensive course that provides learners with an in-depth understanding of security exchange laws and regulations. This course is essential for anyone looking to advance their career in the financial industry, where knowledge of security exchange laws is critical.
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โข Introduction to Security Exchange Laws
โข Understanding the Securities Act of 1933
โข The Securities Exchange Act of 1934: Regulation and Oversight
โข The Investment Company Act of 1940: Investment Companies and Funds
โข The Investment Advisers Act of 1940: Investment Advisers and Their Obligations
โข The Sarbanes-Oxley Act of 2002: Corporate Responsibility and Financial Disclosures
โข The Dodd-Frank Wall Street Reform and Consumer Protection Act: Regulatory Reform and Consumer Protection
โข Compliance Programs and Internal Controls
โข Enforcement of Security Exchange Laws: Procedures and Remedies
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