Bank/Broker Dealer Exemptions – Regulation R – E3

Course Description

Comprehending Regulation R can be a daunting task, given its many complexities and levels of conditional requirements. This course provides a general overview of the primary provisions of Regulation R and explores the regulation’s historical framework and the different banking and brokerage activities.

50 Minutes

Series: Retail Banking for Banks, Retail Banking for Credit Unions

Roles: Commercial, Compliance - Internal Audit, Human Resources, Operations & IT, Retail

Course Format: E3

Package: Breakthrough, Expansion

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