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. This course provides one credit in the Products & Practices category.
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