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2018 Firm Element Course Catalog

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Course Course ID Level
1031 Exchanges (FE) 1975 Advanced
401(k)s and Qualified Plans (FE) 27 Advanced
NEW! -  A Professionals Guide to Ethical Decision Making (FE INT) 10002 Overview
A Professionals Guide to Ethical Decision Making (FE) 43 Overview
A Professionals Guide to FINRA Rules on Variable Annuities and Variable Insurance Prospecting (FE) 71 Intermediate
NEW! -  A Registered Representatives Guide to Electronic Communications: Blogs, Bulletin Boards, Chat Rooms, Social Networks and Websites (FE INT) 9895 Overview
A Registered Representatives Guide to Electronic Communications: Blogs, Bulletin Boards, Chat Rooms, Social Networks and Websites (FE) 1598 Overview
NEW! -  A Representatives Guide to Delivering Great Customer Service (FE INT) 10246 Intermediate
A Representatives Guide to Delivering Great Customer Service (FE) 3206 Intermediate
NEW! -  A Supervisors Guide to Electronic Communications: Blogs, Bulletin Boards, Chat Rooms, Social Networks and Websites (FE INT) 10221 Overview
A Supervisors Guide to Electronic Communications: Blogs, Bulletin Boards, Chat Rooms, Social Networks and Websites (FE) 1599 Overview
A Supervisors Role in Deterring the Spreading of False Rumors and Market Manipulation (FE) 44 Intermediate
NEW! -  Advanced Anti-Money Laundering Overview (FE INT) 9746 Advanced
Advanced Anti-Money Laundering Overview (FE) 3937 Advanced
Advanced Asset Allocation (FE) 30 Advanced
Advanced Look at Collective Funds (FE) 4172 Advanced
NEW! -  Advanced Look at Insider Trading (FE INT) 10110 Advanced
Advanced Look at Insider Trading (FE) 2815 Advanced
Advanced Look at Mutual Funds (FE) 1914 Advanced
Advanced Options Strategies (FE) 3711 Advanced
NEW! -  Advanced Private Placements (FE INT) 10048 Advanced
Advanced Private Placements (FE) 3177 Advanced
NEW! -  Advanced Structured Products (FE INT) 10220 Advanced
Advanced Structured Products (FE) 4355 Advanced
Alternative Investment Companies (FE) 5372 Intermediate
Alternative Investment Strategies: Currency (FE) 5458 Advanced
Alternative Investment Strategies: Long/Short (FE) 5457 Advanced
Alternative Investment Strategies: Market Neutral (FE) 5459 Advanced
Alternative Investment Strategies: Multi-Alternative (FE) 5447 Advanced
Alternative Investments 1955 Intermediate
Alternative Investments: Now Part of Mainstream Investing (FE) 4545 Intermediate
Alternative Mutual Funds - Liquid Alternatives (FE) 6368 Overview
Alternative Mutual Funds and Retail Customer Suitability (FE) 6138 Intermediate
NEW! -  AML Institutional - Understanding Your Compliance Obligations (FE INT) 9954 Overview
AML Institutional - Understanding Your Compliance Obligations (FE) 6363 Overview
An Introduction to Collective Funds (FE) 4170 Overview
An Introduction to Non-Traded REITs (FE) 46 Overview
An Overview of Fixed Income Securities (FE) 3712 Overview
Annual Compliance Reminders for Institutional Registered Representatives - Vol. 1 5428 Intermediate
NEW! -  Annual Compliance Reminders for Institutional Registered Representatives - Vol. 1 (FE INT) 10068 Intermediate
Annual Compliance Reminders For Institutional Registered Representatives - Vol. 2 5429 Intermediate
NEW! -  Annual Compliance Reminders For Institutional Registered Representatives - Vol. 2 (FE INT) 10083 Intermediate
Annuities: Owner Driven and Annuitant Driven Contracts (FE) 145 Intermediate
Annuity Basics (FE) 68 Overview
Anti-Fraud Programs and Controls (FE) 69 Advanced
NEW! -  Anti-Fraud Programs and Controls for the Investment Advisor (FE INT) 10158 Advanced
Anti-Fraud Programs and Controls for the Investment Advisor (FE) 3038 Advanced
NEW! -  Anti-Money Laundering and Red Flags for Institutional Clients (FE INT) 9771 Overview
Anti-Money Laundering and Red Flags for Institutional Clients (FE) 1492 Overview
NEW! -  Anti-Money Laundering and Red Flags for Institutional Clients - Vol. 2 (FE INT) 9906 Overview
Anti-Money Laundering and Red Flags for Institutional Clients - Vol. 2 (FE) 6849 Intermediate
Anti-Money Laundering and the Red Flag Rule (FE) 28 Overview
NEW! -  Anti-Money Laundering Compliance Obligations for Retail Representatives (FE INT) 9950 Intermediate
Anti-Money Laundering Compliance Obligations for Retail Representatives (FE) 4547 Intermediate
Anti-Money Laundering Considerations for Banks (FE) 45 Intermediate
Anti-Money Laundering Detection and Prevention for Agents (FE) 3843 Overview
Anti-Money Laundering for Agents (FE) 1976 Overview
NEW! -  Anti-Money Laundering for Agents and Representatives: Overview Detection and Prevention (FE INT) 9881 Overview
Anti-Money Laundering for Agents and Representatives: Overview, Detection and Prevention (FE) 6066 Overview
NEW! -  Anti-Money Laundering for Bank-Affiliated Broker-Dealer Representatives (FE INT) 10159 Overview
Anti-Money Laundering for Bank-Affiliated Broker-Dealer Representatives (FE) 6348 Overview
NEW! -  Anti-Money Laundering for Broker Dealers (FE INT) 9892 Overview
Anti-Money Laundering for Broker Dealers (FE) 1774 Overview
NEW! -  Anti-Money Laundering for Broker-Dealers - Vol. 2 (FE INT) 9877 Intermediate
Anti-Money Laundering for Broker-Dealers - Vol. 2 (FE) 6845 Intermediate
NEW! -  Anti-Money Laundering for Financial Services Professionals (FE INT) 9897 Overview
Anti-Money Laundering for Financial Services Professionals (FE) 1977 Overview
Anti-Money Laundering for Home Office Personnel (FE) 1912 Overview
NEW! -  Anti-Money Laundering for Home Office Personnel - Vol. 2 (FE INT) 10292 Overview
Anti-Money Laundering for Home Office Personnel - Vol. 2 (FE) 6931 Overview
Anti-Money Laundering for Investment Advisers 9331 Intermediate
NEW! -  Anti-Money Laundering for Investment Advisers (FE INT) 9834 Intermediate
Anti-Money Laundering for Municipal Securities Representatives (FE) 2851 Overview
Anti-Money Laundering for Retail Representatives 9366 Overview
NEW! -  Anti-Money Laundering for Retail Representatives (FE INT) 9828 Beginner
Anti-Money Laundering for Supervisors (FE) 6298 Intermediate
NEW! -  Anti-Money Laundering for Wholesalers: Your Role in Detecting and Deterring Money Laundering Activity (FE INT) 9902 Overview
Anti-Money Laundering for Wholesalers: Your Role in Detecting and Deterring Money Laundering Activity (FE) 4307 Overview
Anti-Money Laundering Regulations and Ramifications (FE) 2175 Overview
Anti-Money Laundering Regulations and Red Flag Requirements for the Investment Adviser (FE) 3048 Overview
NEW! -  Anti-Money Laundering: Beneficial Ownership (FE INT) 9692 Intermediate
Anti-Money Laundering: Beneficial Ownership (FE) 9278 Intermediate
Anti-Money Laundering: Customer Identification Programs and Red Flags (FE) 5230 Intermediate
NEW! -  Anti-Money Laundering: Customer Identification Programs, Red Flags, Everyday Scenarios and Enforcement Cases (FE INT) 9842 Intermediate
Anti-Money Laundering: Customer Identification Programs, Red Flags, Everyday Scenarios and Enforcement Cases (FE) 6070 Intermediate
NEW! -  Anti-Money Laundering: Review, Everyday Scenarios, and Enforcement Cases (FE INT) 9873 Intermediate
Anti-Money Laundering: Review, Everyday Scenarios, and Enforcement Cases (FE) 5231 Intermediate
NEW! -  Anti-Money Laundering: Review, Everyday Scenarios, and Enforcement Cases - Vol. 2 (FE INT) 9918 Overview
Anti-Money Laundering: Review, Everyday Scenarios, and Enforcement Cases - Vol. 2 (FE) 6949 Overview
NEW! -  Anti-Money Laundering: Technological Challenges (FE INT) 9770 Intermediate
Anti-Money Laundering: Technological Challenges (FE) 8323 Intermediate
Asset Allocation (FE) 1978 Advanced
Auction Rate Securities (FE) 1591 Intermediate
Back Office Functions and Operations (FE) 8901 Overview
Bank Secrecy Act (FE) 78 Intermediate
Basics of 403(b) Plans (FE) 74 Overview
Basics of Bond Investing (FE) 75 Overview
Basics of Investing (FE) 49 Overview
Basics of Stock Investing (FE) 26 Overview
NEW! -  Best Execution and Debt Mark Ups (FE INT) 9723 Intermediate
NEW! -  Best Execution and Debt Mark Ups (FE INT*) 10409 Overview
Best Execution and Debt Mark Ups (FE) 1919 Intermediate
Blue Sky Laws (FE) 1979 Overview
NEW! -  Books and Records: Representative Responsibilities (FE INT) 10406 Overview
Books and Records: Representative Responsibilities (FE) 1961 Overview
Brokered CDs (FE) 5180 Intermediate
Business Continuity Planning (FE) 76 Intermediate
Business Development Companies (FE) 4491 Intermediate
NEW! -  Business Gifts: A Wholesalers Responsibilities (FE INT) 10054 Intermediate
Business Gifts: A Wholesalers Responsibilities (FE) 4356 Intermediate
Buy-Sell Agreements and Business Valuation (FE) 5719 Overview
Cash Alternatives - FINRA Regulatory Notice 08-82 (FE) 1980 Intermediate
Changes to FINRA Supervision Rules (FE) 5907 Intermediate
NEW! -  Changes to FINRAs Public Communication Rules for Registered Representatives (FE INT) 10142 Overview
Changes to FINRAs Public Communication Rules for Registered Representatives (FE) 3958 Overview
Changes to FINRAs Public Communication Rules for Supervisors (FE) 3976 Overview
Class B Mutual Fund Shares (FE) 70 Intermediate
NEW! -  Client Suitability (FE INT) 10092 Overview
Client Suitability (FE) 1962 Overview
Client Suitability for the Investment Advisor (FE) 3037 Overview
Closed-End Funds (FE) 4543 Intermediate
Code of Conduct (FE) 1577 Overview
Collateralized Mortgage Obligations (CMOs) (FE) 1981 Advanced
Common Stocks (FE) 1982 Advanced
NEW! -  Communications with the Public for Registered Representatives (FE INT) 10120 Overview
Communications with the Public for Registered Representatives (FE) 7683 Overview
NEW! -  Communications with the Public: Best Practices for Wholesalers (FE INT) 9825 Intermediate
Communications with the Public: Best Practices for Wholesalers (FE) 4308 Intermediate
Complex Investment Strategies (FE) 6204 Intermediate
Complex Products and Heightened Supervision (FE) 6134 Intermediate
NEW! -  Compliance Safety Measures When Working With Senior Investors (FE INT) 9891 Overview
Compliance Safety Measures when Working with Senior Investors (FE) 6632 Overview
NEW! -  Conflicts of Interest (FE INT) 9964 Overview
Conflicts of Interest (FE) 103 Overview
NEW! -  Conflicts of Interest and Investment Advisers (FE INT) 9849 Intermediate
Conflicts of Interest and Investment Advisers (FE) 9263 Intermediate
Conflicts of Interest for Institutional Clients (FE) 4559 Intermediate
Convertible Securities (FE) 1983 Overview
Corporate and Government Bonds (FE) 5591 Intermediate
Corporate Bonds 2008 Intermediate
NEW! -  Corporate Culture and Supervision - FINRA Enforcement Actions (FE INT) 9882 Intermediate
NEW! -  Corporate Culture and Supervision - FINRA Enforcement Actions (FE) 9541 Intermediate
Crowdfunding (FE) 5336 Intermediate
NEW! -  Cryptocurrency (FE INT) 9887 Overview
NEW! -  Cryptocurrency (FE) 9442 Overview
NEW! -  Customer Data Protection (FE INT) 10157 Overview
Customer Data Protection (FE) 6302 Overview
Customer Data Protection 2012 (FE) 1590 Overview
Customer Data Protection and the Municipal Securities Representative (FE) 2962 Overview
Cybersecurity & FINRA (FE INT) 6100 Overview
NEW! -  Cybersecurity & FINRA (FE INT*) 9907 Overview
NEW! -  Cybersecurity (FE INT) 9856 Intermediate
Cybersecurity (FE) 5338 Intermediate
NEW! -  Cybersecurity for Registered Representatives (FE INT) 9755 Intermediate
Cybersecurity for Registered Representatives (FE) 6970 Intermediate
NEW! -  Cybersecurity for Supervisors (FE INT) 10263 Overview
Cybersecurity for Supervisors (FE) 6971 Intermediate
NEW! -  Cybersecurity: Phishing (FE INT) 9756 Intermediate
Cybersecurity: Phishing (FE) 8324 Intermediate
Deferred Variable Annuities (FE) 1985 Overview
NEW! -  Delaware Sexual Harassment Training 10392 Intermediate
Delivering Quality Customer Service (FE) 3680 Intermediate
Direct Participation Programs: Registered and Unregistered Limited Partnerships (FE) 3883 Advanced
Disability Income Insurance (FE) 2772 Advanced
NEW! -  Disclosures in Connection with Primary Offerings (MSRB Rule G-32) (FE INT) 9835 Intermediate
Disclosures in Connection with Primary Offerings (MSRB Rule G-32) (FE) 9328 Intermediate
Dodd-Frank Wall Street Reform and Consumer Protection Act (FE) 2535 Advanced
Due Diligence for Investment Advisers (FE) 3870 Overview
Economic Growth and Tax Relief Reconciliation Act of 2001 (FE) 77 Intermediate
Economic Indicators (FE) 25 Intermediate
Effective Marketing Strategies Utilizing Social Media (FE) 3957 Intermediate
Effects of Market Uncertainty on Retirement Planning (FE) 2773 Intermediate
NEW! -  Electronic Communications for Registered Representatives (FE INT) 10042 Overview
Electronic Communications for Registered Representatives (FE) 18 Intermediate
Electronic Communications With the Public for Wholesalers (FE) 4166 Intermediate
Equity Indexed Annuities (FE) 2774 Advanced
NEW! -  ERISA Qualified Plans - The Financial Advisor's Role (FE INT) 10052 Overview
ERISA Qualified Plans - The Financial Advisor's Role (FE) 6267 Overview
NEW! -  ETF Investing (FE INT) 10186 Overview
ETF Investing (FE) 3104 Overview
Ethical Standards for Producers (FE) 2775 Advanced
NEW! -  Ethics and Professional Conduct (FE INT) 9857 Overview
Ethics and Professional Conduct (FE) 2776 Overview
NEW! -  Ethics and Professional Conduct for the Municipal Securities Representative (FE INT) 10064 Overview
Ethics and Professional Conduct for the Municipal Securities Representative (FE) 2972 Overview
NEW! -  Ethics and the Research Analyst FINRA Conduct Rules (FE INT) 10293 Advanced
Ethics and the Research Analyst FINRA Conduct Rules (FE) 1930 Advanced
NEW! -  Ethics and the Securities Futures Professional (FE INT) 10139 Advanced
Ethics and the Securities Futures Professional (FE) 65 Advanced
NEW! -  Ethics for the Financial Services Professional (FE INT*) 10050 Overview
Ethics for the Financial Services Professional (FE) 2777 Overview
Executive Bonus Plans (FE) 67 Intermediate
FACT Act of 2003 - The Red Flags Rules (FE) 3977 Overview
Fails and Fines: Regulatory Do's and Don'ts 7702 Beginner
NEW! -  Fails and Fines: Regulatory Do's and Don'ts (FE INT) 10228 Overview
NEW! -  Fee Selection and Reverse Churning (FE INT) 10084 Overview
Fee Selection and Reverse Churning (FE) 7704 Overview
NEW! -  Financial Exploitation of Specified Adults & Customer Account Information (FINRA Rules 2165 & 4512) (FE INT) 9869 Beginner
Financial Exploitation of Specified Adults & Customer Account Information (FINRA Rules 2165 & 4512) (FE) 9226 Overview
Financial Performance Evaluation (FE) 66 Advanced
FINRA and SEC Examination Priorities for 2016 (FE) 7148 Overview
NEW! -  FINRA and SEC Examination Priorities for 2017 (FE INT) 10029 Overview
FINRA and SEC Examination Priorities for 2017 (FE) 8313 Overview
NEW! -  FINRA and SEC Examination Priorities for 2018 (FE) 9529 Overview
FINRA Back Office Operations (FE) 3649 Overview
FINRA Code of Arbitration, Mediation and Procedure (FE) 2963 Overview
FINRA Conduct Rules (FE) 1986 Intermediate
FINRA Restrictions on Broker Political Contributions (FE) 7653 Overview
NEW! -  FINRA Restrictions on Broker Political Contributions - Vol. 2 (FE INT) 9888 Intermediate
NEW! -  FINRA Restrictions on Broker Political Contributions - Vol. 2 (FE) 9441 Intermediate
FINRA Rule 1230(b)(6): Operations Professional Registration (FE) 3563 Intermediate
FINRA Rule 2210: The BrokerCheck Amendment (FE) 7700 Overview
FINRA Rule 2273 - Educational Communication Related to Recruitment Practices and Account Transfers 7703 Overview
FINRA Rule 2330 Supervisory Training (FE) 5184 Overview
NEW! -  FINRA Rule 3160 - Networking Arrangements with Members and Financial Institutions (FE INT) 9870 Beginner
NEW! -  FINRA Rule 3160 - Networking Arrangements with Members and Financial Institutions (FE) 9516 Overview
FINRA Rule 4110: Capital Compliance (FE) 2946 Intermediate
FINRA Rule 4530 - Disclosure and Complaint Filings (FE) 7792 Overview
FINRA Rules 3130 and 3120: Supervisory Controls (FE) 100 Intermediate
FINRA Suitability Rule 2111: An Institutional Focus (FE) 4298 Overview
NEW! -  FINRAs Suitability and Know Your Customer Rules (FINRA Rules 2111 and 2090) (FE INT) 9945 Overview
FINRAs Suitability and Know Your Customer Rules (FINRA Rules 2111 and 2090) (FE) 3687 Overview
NEW! -  Fixed and Variable Annuities vs. Mutual Funds (FE INT) 10320 Overview
Fixed and Variable Annuities vs. Mutual Funds (FE) 2778 Intermediate
Fixed Income: Rising Interest Rates (FE) 5345 Intermediate
Fixed Rate Primary Market Offerings (FE) 7790 Overview
Floating-Rate Funds (FE) 5178 Intermediate
NEW! -  Foreign Corrupt Practices Act (FE INT) 9878 Overview
Foreign Corrupt Practices Act (FE) 1923 Overview
Forex Currency Trading (FE) 2691 Advanced
Forms of Business Ownership and Legal Organization (FE) 5759 Overview
Futures and Managed Funds (FE) 1987 Advanced
Futures Markets (FE) 42 Advanced
NEW! -  General Data Protection Regulation (GDPR) (FE INT) 10210 Intermediate
NEW! -  Gifts and Gratuities: Guidance on FINRA Rule 3220 (FE INT) 10003 Overview
Gifts and Gratuities: Guidance on FINRA Rule 3220 (FE) 12 Overview
Government Sponsored Enterprises and Home Financing (FE) 7453 Overview
Government-Sponsored Enterprises (GSEs) (FE) 5414 Intermediate
Gramm-Leach-Bliley Act (FE) 39 Overview
Harassment and Discrimination in a Professional Environment (FE) 4561 Intermediate
Harassment and Discrimination in a Professional Environment for Supervisors (FE) 4562 Overview
Hedge Fund Investing (FE) 87 Overview
Hedge Fund Investing: Regulatory Concerns and Issues (FE) 2065 Overview
Heightened Supervision: Who, When, Why, and How (FE) 4300 Overview
NEW! -  How To Read A Prospectus (FE INT) 10215 Intermediate
How To Read A Prospectus (FE) 88 Intermediate
How to Work with Millennial Investors (FE) 9118 Intermediate
Hybrid Securities (FE) 89 Intermediate
NEW! -  Identifying and Mitigating Conflicts of Interest (FE INT) 10095 Overview
Identifying and Mitigating Conflicts of Interest (FE) 7029 Intermediate
Identity Theft Prevention and the Financial Services Industry (FE) 90 Overview
NEW! -  Identity Theft: It's Everyone's Business (FE INT) 10070 Overview
Identity Theft: Its Everyones Business (FE) 4303 Overview
NEW! -  Information Barriers for the Institutional Firm (FE INT) 9947 Overview
Information Barriers for the Institutional Firm (FE) 3858 Overview
Information Security: Protecting You, Your Clients and Your Firm for the Investment Adviser (FE) 3040 Overview
NEW! -  Information Security: Protecting You, Your Clients, and Your Firm (FE INT) 10053 Overview
Information Security: Protecting You, Your Clients, and Your Firm (FE) 154 Overview
NEW! -  Insider Trading (FE INT) 10111 Overview
Insider Trading (FE) 11 Overview
NEW! -  Insider Trading - Vol. 2 (FE INT) 9826 Intermediate
Insider Trading - Vol. 2 (FE) 8312 Intermediate
NEW! -  Insider Trading: The Illegal Side (FE INT) 9827 Intermediate
Insider Trading: The Illegal Side (FE) 4548 Intermediate
Institutional Advertising and Communications (FE) 1963 Intermediate
Institutional Conflicts of Interest (FE) 5289 Intermediate
NEW! -  Institutional Ethics (FE INT) 10170 Overview
Institutional Ethics (FE) 21 Overview
NEW! -  Institutional Ethics and Regulation (FE INT) 10135 Overview
Institutional Ethics and Regulation (FE) 3714 Overview
Interest, Yield and Price Calculations (FE) 1988 Intermediate
Introduction to 529 Plans (FE) 64 Intermediate
Introduction To Blue Sky Laws (FE) 91 Overview
Introduction To Derivatives (FE) 92 Overview
Introduction To Equity Indexed Annuities (FE) 107 Intermediate
Introduction To Estate Planning (FE) 60 Advanced
Introduction to FINRA Rule 2330 for Registered Representatives (FE) 16 Intermediate
Introduction to Gift and Estate Taxation (FE) 2779 Intermediate
Introduction to Investments (FE) 2947 Intermediate
Introduction To Mutual Fund Investing (FE) 104 Overview
NEW! -  Introduction to Suitability and the Senior Protection Model Regulation (FE INT) 9997 Overview
Introduction to Suitability and the Senior Protection Model Regulation (FE) 2780 Overview
Introduction to the Securities Industry (FE) 3696 Overview
Investing in Emerging Markets (FE) 4309 Intermediate
NEW! -  Investment Advice for a Fee in Retirement Plans (FE INT) 9862 Overview
Investment Advice for a Fee in Retirement Plans (FE) 8828 Overview
NEW! -  Investment Adviser - Fiduciary Responsibilities (FE INT) 9972 Overview
Investment Adviser - Fiduciary Responsibilities (FE) 4490 Intermediate
Investment Advisor Code of Ethics (FE) 108 Intermediate
Investment Advisors: Communication Compliance - SEC (FE) 8506 Intermediate
Investment Analysis (FE) 2080 Overview
Investment Banking for Equity Professionals (FE) 3223 Overview
IPO Allocations (FE) 3559 Overview
IRA Basics (FE) 31 Overview
Life Settlements (FE) 2094 Overview
Making Suitable Recommendations to Customers (FE) 1956 Overview
Managed Futures (FE) 96 Intermediate
Managing Electronic Communications (FE) 1920 Overview
Margin Trading (FE) 97 Overview
NEW! -  Mark-ups on Fixed Income Securities (FE INT) 9861 Intermediate
NEW! -  Mark-ups on Fixed Income Securities (FE) 9569 Intermediate
Market Linked CDs (FE) 4799 Overview
Market Making (FE) 4297 Advanced
Market Risk Factors (FE) 1991 Advanced
NEW! -  Markets in Financial Instruments Directives: MiFID and MiFID II (FE INT) 9757 Intermediate
NEW! -  Markets in Financial Instruments Directives: MiFID and MiFID II (FE) 9581 Intermediate
Markups on Debt Securities - Riskless Principal (FE) 5233 Intermediate
Master Limited Partnerships (MLPs) 4782 Intermediate