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Course Catalog | e-Learning Courses | Edcomm Group

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Seat Time: 0.25hrs - Desc:

This course will introduce the learner to Regulation X's relationship to Regulation T and Regulation U. The course will also discuss when Regulation X is applicable to purchasing securities credit and when a borrower is subject to Regulation X. After completing this program, the learner will understand:

  • Purpose of Regulation X.
  • Definition of a "U.S. Person."
  • When a U.S. Person may not participate in a credit transaction that is collateralized by margin securities.
Seat Time: 0.25hrs - Desc:

This course provides information about Regulation W, Transactions between Banks and Their Affiliates. This course will describe the provisions of sections 23A and 23B as well as the attribution rule and collateral requirements. Upon completion of this course, the learner will be able to:

  • Understand the terms and guidelines for financial transactions between banks and affiliates.
  • Abide by designated quantitate limits and collateral requirements.
  • Help protect the bank from the misuse of its resources and potential losses.

Seat Time: 0.25hrs - Desc:

This course will introduce the learner to Regulation U, which deals with extending margin stock. The course will also discuss for the learner what qualifies as "margin stock" and "indirectly securing credit." After completing the program, the learner will understand:

  • Definition of "maximum loan value."
  • Requirements of the bank lender.
  • When non-bank lenders must comply with Regulation U.

Seat Time: 0.25hrs - Desc:

This course will introduce the learner to Regulation T, which implements the Securities Exchange Act. The course will introduce the learner to the purpose of Regulation T as well to restrictions on extending credit. After completing this program, the learner will understand:

  • When Regulation T applies.
  • What margin securities are included.
  • Limitations on securing funds under Regulation T.

Seat Time: 0.5hrs - Desc:

This course will introduce the learner to Regulation S, which implements the Right to Financial Privacy Act (RFPA). The learner will be instructed on how the RFPA protects customers' financial privacy. After completing this program, the learner will understand:

  • How Regulation S implements RFPA.
  • How Regulation S implements the Annunzio-Wylie Anti-Money Laundering Act of 1992.
  • Actions established by the Annunzio-Wylie Anti-Money Laundering Act of 1992.

Seat Time: 0.25hrs - Desc:

This 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:

  • What qualifies a referral fee as "nominal."
  • Restrictions on employee bonuses.
  • Requirements for institutional referrals.
Seat Time: 1hrs - Desc:

This course will introduce the learner to Regulation P, which distinguishes between nonpublic and public information. The learner will also be provided with an overview of required privacy notices, including the required content of privacy notices. After completing this program, the learner will understand:

  • The purpose of Regulation P.
  • Essential information in privacy notices.
  • When financial institutions are permitted to release nonpublic personal information.
Category: Credit Unions

Seat Time: 1hrs - Desc:

This course will introduce the learner to the provisions of Regulation P, which include privacy notices and privacy disclosures. The course will familiarize the learner with Regulation P’s requirements for financial institutions, the specifics of privacy notice content, and marketing exceptions. After completing this program the learner will understand:

  • The criteria used to determine nonpublic personal information.
  • Opt-out rights and methods.
  • How to deliver opt-out notices.
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