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Partners, Directors, & Senior Officers Course

Parners, Directors, & Senior Officers is a course provided by the Canadian Securities Institute.

The Study Notes for the Parners, Directors, & Senior Officers Course provides detailed information for the "need-to-know" content of this course in an easy to read and study format.

Review questions with answers are provided for each chapter. In addition, sample essay questions and answers are included at the end of the book

Table of Contents

  1. Placing Orders for Securities
  2. Cash and Margin Account Rules
  3. Communications with Clients

Section 3: Special Transactions and Products

  1. Bringing Securities to Market and Maintaining Publicly Trading Status
  2. Take-Over Bids, Insider Bids, and Issuer Bids

Section 1: The Regulatory Environment

  1. Canadian Securities Registrant Code of Ethics and Standards of Conduct
  2. Regulation of the Securities Industry
  3. Registration of Securities Industry Participants

Section 2: Dealing with Client Accounts

  1. Account Opening Procedures
  2. Sales and Trading Practices

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Study Notes

$99.95 *
Partner's, Director's and Senior Officer's Course

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