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The program also provided comprehensive training on investment banking, securities laws and regulations, trading procedures, margin accounts, customer accounts and direct participation programs. During the program, the participants were taken through an overall introduction into the Securities industry, and discussed the Servicing and Maintaining of Customer Accounts, Equities, the fundamentals of Debt, Exchange Markets, the Over-the-Counter Market, Margin Accounts, Basic Option Positions and Economics and Securities Analysis.
Rules at the NASD, Washington, now prohibit payment and acceptance of non-cash compensation such as entertainment and travel expenses in connection with the sale of direct participation programs, variable insurance contracts and public offerings of real estate investment trusts.
She also holds Series 22 (Direct Participation Programs Representative) and Series 65 (Investment Adviser Representative) securities licenses and is an affiliated agent with the Trustmont Group, a FINRA registered Broker Dealer.