Basic CCO Training – Live Attendee

Description

This one-hour course is intended for investment adviser representatives of SEC-registered or state-registered investment adviser firms. This course will introduce students to the CCO role as described in SEC Rule 206(4)-7. By the end of the course, students should have acquired an understanding of what the CCO’s responsibilities are, who qualifies to serve as a CCO, and what is expected of the CCO during a regulatory exam.

Please only purchase this course if you attended the live “Basic CCO Training” webinar on February 2, 2023. If you did not attend the live webinar and would like to take this course, please sign-up on the following page: Basic CCO Training