{"product_id":"regulation-r-exceptions-from-definition-of-broker","title":"Regulation R: Exceptions From Definition of Broker","description":"\u003cdiv class=\"ebsi-team-licence-note\"\u003e\u003cp\u003e\u003cstrong\u003eBuying for a team?\u003c\/strong\u003e\u003cbr\u003eChoose 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.\u003c\/p\u003e\u003c\/div\u003e\n\u003c!-- ebsi-sales-wrapper --\u003e\u003cdiv class=\"ebsi-sales-wrapper\"\u003e\n\u003cp\u003e\u003cstrong\u003eDevelop practical knowledge and confidence in Regulation R: Exceptions From Definition of Broker.\u003c\/strong\u003e\u003c\/p\u003e\n\u003cp\u003eThis course will introduce the learner to Regulation R, which was jointly adopted by the Securities and Exchange Commission (SEC) and the Federal Reserve Board (FRB). The course will describe for the learner the purpose of Regulation R and will also discuss conditions that must be satisfied for employees to receive compensation in an unlimited amount from a broker-dealer. After completing this program, the...\u003c\/p\u003e\n\u003ch3\u003eWhy this course matters\u003c\/h3\u003e\n\u003cp\u003eThis 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.\u003c\/p\u003e\n\u003ch3\u003eWhat you will gain\u003c\/h3\u003e\n\u003cul\u003e\n\u003cli\u003eBuild a practical understanding of the key concepts covered in Regulation R: Exceptions From Definition of Broker.\u003c\/li\u003e\n\u003cli\u003eRecognise where the topic applies in real workplace or business situations.\u003c\/li\u003e\n\u003cli\u003eApply the methods and good-practice approaches covered in the course with greater confidence.\u003c\/li\u003e\n\u003c\/ul\u003e\n\u003ch3\u003eWho is this course for?\u003c\/h3\u003e\n\u003cp\u003eThis course is suitable for professionals, managers, business owners and learners who want practical knowledge they can apply in real workplace situations.\u003c\/p\u003e\n\u003ch3\u003eCourse at a glance\u003c\/h3\u003e\n\u003cul\u003e\n\u003cli\u003e\n\u003cstrong\u003eStudy time:\u003c\/strong\u003e approximately 1 hour.\u003c\/li\u003e\n\u003cli\u003e\n\u003cstrong\u003eFormat:\u003c\/strong\u003e self-paced online learning.\u003c\/li\u003e\n\u003cli\u003e\n\u003cstrong\u003eProfessional development:\u003c\/strong\u003e CPD course.\u003c\/li\u003e\n\u003c\/ul\u003e\n\u003c\/div\u003e\n\u003cp\u003e\u003cu\u003e\u003cstrong\u003eCourse\u003cspan\u003e \u003c\/span\u003eOutline\u003c\/strong\u003e\u003c\/u\u003e\u003c\/p\u003e\n\u003cp\u003eSeat Time: 0.25hrs - Desc:\u003cbr\u003e\u003c\/p\u003e\n\u003cp\u003eThis course will introduce the learner to Regulation R, which was jointly adopted by the Securities and Exchange Commission (SEC) and the Federal Reserve Board (FRB). The course will describe for the learner the purpose of Regulation R and will also discuss conditions that must be satisfied for employees to receive compensation in an unlimited amount from a broker-dealer. After completing this program, the learner will understand:\u003c\/p\u003e\n\u003cul\u003e\n\u003cli\u003eWhat qualifies a referral fee as \"nominal.\"\u003c\/li\u003e\n\u003cli\u003eRestrictions on employee bonuses.\u003c\/li\u003e\n\u003cli\u003eRequirements for institutional referrals.\u003c\/li\u003e\n\u003c\/ul\u003e\n\u003cp\u003e\u003cu\u003e\u003cstrong\u003eCourse Topics\u003c\/strong\u003e\u003c\/u\u003e\u003c\/p\u003e\n\u003cp\u003e\u003cstrong\u003eT1. Regulation R: \u003c\/strong\u003eThis topic will introduce Regulation R, which implements several of the exceptions for a financial institution to engage in securities activities without being registered as a broker-dealer, and will address the four statutory bank broker exceptions,networking arrangements, nominal referral fees, and more.\u003c\/p\u003e\n\u003cp\u003e\u003cstrong\u003eT4 - Privacy Disclosures \u003c\/strong\u003e   This topic will afford the learner a look at the disclosure of information and the conditions under which financial institutions may disclose nonpublic personal information to nonaffiliated third parties by discussing such circumstances, information received from other financial institutions, and more.\u003c\/p\u003e\n\u003c!-- ebsi-cross-sell --\u003e\u003cdiv class=\"ebsi-cross-sell\"\u003e\n\u003ch3\u003eContinue your learning\u003c\/h3\u003e\n\u003cp\u003e\u003cstrong\u003ePart of this learning pathway:\u003c\/strong\u003e \u003ca href=\"\/collections\/bankers-academy-compliance-regulatory\"\u003eCompliance \u0026amp; Regulatory\u003c\/a\u003e\u003c\/p\u003e\n\u003c\/div\u003e\n\u003c!-- ebsi-academy-breadcrumb --\u003e\n\u003chr\u003e\u003cdiv class=\"ebsi-course-pathway\"\u003e\n\u003cp\u003e\u003cstrong\u003eCourse pathway:\u003c\/strong\u003e \u003ca href=\"\/pages\/welcome-to-ebsi-banking-academy\"\u003eeBSI Banking Academy\u003c\/a\u003e \u0026gt; \u003ca href=\"\/collections\/bankers-academy-compliance-regulatory\"\u003eCompliance \u0026amp; Regulatory\u003c\/a\u003e \u0026gt; Regulation R: Exceptions From Definition of Broker\u003c\/p\u003e\n\u003cp\u003eExplore more \u003ca href=\"\/collections\/bankers-academy-compliance-regulatory\"\u003eCompliance \u0026amp; Regulatory\u003c\/a\u003e training or return to the \u003ca href=\"\/pages\/welcome-to-ebsi-banking-academy\"\u003eeBSI Banking Academy\u003c\/a\u003e.\u003c\/p\u003e\n\u003c\/div\u003e","brand":"Bankers Academy","offers":[{"title":"Individual Licence (EUR 60)","offer_id":41110570664114,"sku":"BA-195","price":66.0,"currency_code":"USD","in_stock":true},{"title":"5 Licences (EUR 50 each)","offer_id":59260506898780,"sku":null,"price":275.0,"currency_code":"USD","in_stock":true},{"title":"10 Licences (EUR 40 each)","offer_id":59260506931548,"sku":null,"price":440.0,"currency_code":"USD","in_stock":true}],"thumbnail_url":"\/\/cdn.shopify.com\/s\/files\/1\/0077\/7604\/3071\/products\/BA-472-RegulationRCover.png?v=1633482943","url":"https:\/\/www.ebsiamericas.com\/products\/regulation-r-exceptions-from-definition-of-broker","provider":"eBSI Export Academy","version":"1.0","type":"link"}