Why This Course is Important
Without this training, professionals may overlook critical new compliance requirements, risk management standards, and operational changes introduced by the SEC’s modernization proposal—potentially exposing themselves to regulatory penalties and operational disruptions.
Course Details
This is a self-paced eLearning course based on the Federal Register Document titled Transfer Agent Rules.
Key regulatory references include:
- 17 CFR Part 240 – General Rules and Regulations, Securities Exchange Act of 1934
- 17 CFR Part 249 – Forms, Securities Exchange Act of 1934
Course SKU
FR-26-2190-1