SELECT cp.DateAdded, cp.CrseLevel, cp.CrseProfID, cp.NumPages, cp.EstCompletionTime, cl.CatListID, cl.CrseCatID, cl.CrseCreditValue, cl.CrseGeneralValue, cl.CrseEthicsValue, cl.CrseLtcpValue, cl.CrsePcValue, cl.CrseAnnuityValue, cl.CrseCode, cp.CrseTitle, cp.CrseDescription, cp.CrseKeywords FROM dbo.CatalogListing cl INNER JOIN dbo.CourseProfile cp ON cl.CrseProfID = cp.CrseProfID WHERE cl.CrseCatID = 8 AND cp.CrseProfID NOT IN (2045) AND cl.ListApproved = 'Yes' AND cp.CrseApproved = 'Yes' and CrseOwner = 0 ORDER BY cp.CrseTitle ASC
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2019 Firm Element Course Catalog

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Course Course ID Level
NEW! -  1031 Exchanges (FE INT) 10726 Advanced
401(k)s and Qualified Plans (FE) 27 Advanced
NEW! -  529 Plans and ABLE Programs (FE INT) 11084 Overview
A Professionals Guide to Ethical Decision Making (FE INT) 10002 Overview
NEW! -  A Professionals Guide to FINRA Rules on Variable Annuities and Variable Insurance Prospecting (FE INT) 10890 Intermediate
A Registered Representatives Guide to Electronic Communications: Blogs, Bulletin Boards, Chat Rooms, Social Networks and Websites (FE INT) 9895 Overview
A Representatives Guide to Delivering Great Customer Service (FE INT) 10246 Intermediate
A Supervisors Guide to Electronic Communications: Blogs, Bulletin Boards, Chat Rooms, Social Networks and Websites (FE INT) 10221 Overview
NEW! -  A Supervisors Role in Deterring the Spreading of False Rumors and Market Manipulation (FE INT) 10885 Intermediate
Advanced Anti-Money Laundering Overview (FE INT) 9746 Advanced
NEW! -  Advanced Asset Allocation (FE INT) 11098 Advanced
Advanced Look at Collective Funds (FE) 4172 Advanced
Advanced Look at Insider Trading (FE INT) 10110 Advanced
NEW! -  Advanced Look at Mutual Funds (FE INT) 10998 Advanced
NEW! -  Advanced Options Strategies (FE INT) 10996 Advanced
Advanced Private Placements (FE INT) 10048 Advanced
Advanced Structured Products (FE INT) 10220 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 (INT) 10560 Intermediate
NEW! -  Alternative Investments: Now Part of Mainstream Investing (FE INT) 10878 Intermediate
NEW! -  Alternative Mutual Funds - Liquid Alternatives (FE INT) 10937 Overview
NEW! -  Alternative Mutual Funds and Retail Customer Suitability (FE INT) 10729 Intermediate
AML Institutional - Understanding Your Compliance Obligations (FE INT) 9954 Overview
An Introduction to Collective Funds (FE) 4170 Overview
An Introduction to Non-Traded REITs (FE INT) 10507 Overview
NEW! -  An Overview of Fixed Income Securities (FE INT) 11015 Overview
Annual Compliance Reminders for Institutional Registered Representatives - Vol. 1 (FE INT) 10068 Intermediate
Annual Compliance Reminders For Institutional Registered Representatives - Vol. 2 (FE INT) 10083 Intermediate
Annuities: Owner Driven and Annuitant Driven Contracts (FE) 145 Intermediate
NEW! -  Annuity Basics (FE INT) 11204 Overview
NEW! -  Anti-Fraud Programs and Controls (FE INT) 10894 Advanced
Anti-Fraud Programs and Controls for the Investment Advisor (FE INT) 10158 Advanced
Anti-Money Laundering and Red Flags for Institutional Clients (FE INT) 9771 Overview
Anti-Money Laundering and Red Flags for Institutional Clients - Vol. 2 (FE INT) 9906 Overview
NEW! -  Anti-Money Laundering and the Red Flag Rule (FE INT) 10684 Overview
Anti-Money Laundering Compliance Obligations for Retail Representatives (FE INT) 9950 Intermediate
NEW! -  Anti-Money Laundering Considerations for Banks (FE INT) 10943 Intermediate
NEW! -  Anti-Money Laundering Detection and Prevention for Agents (FE INT) 10692 Overview
NEW! -  Anti-Money Laundering for Agents (FE INT) 11212 Overview
Anti-Money Laundering for Agents and Representatives: Overview, Detection and Prevention (FE INT) 9881 Overview
Anti-Money Laundering for Bank-Affiliated Broker-Dealer Representatives (FE INT) 10159 Overview
Anti-Money Laundering for Broker-Dealers (FE INT) 9892 Overview
Anti-Money Laundering for Broker-Dealers - Vol. 2 (FE INT) 9877 Intermediate
Anti-Money Laundering for Financial Services Professionals (FE INT) 9897 Overview
NEW! -  Anti-Money Laundering for Home Office Personnel (FE INT) 10693 Overview
Anti-Money Laundering for Home Office Personnel - Vol. 2 (FE INT) 10292 Overview
Anti-Money Laundering for Investment Advisers (INT) 9834 Intermediate
NEW! -  Anti-Money Laundering for Municipal Securities Representatives (FE INT) 11027 Overview
Anti-Money Laundering for Retail Representatives (FE INT) 9828 Overview
NEW! -  Anti-Money Laundering for Supervisors (FE INT) 10694 Intermediate
Anti-Money Laundering for Wholesalers: Your Role in Detecting and Deterring Money Laundering Activity (FE INT) 9902 Overview
NEW! -  Anti-Money Laundering Regulations and Ramifications (FE INT) 10687 Overview
NEW! -  Anti-Money Laundering Regulations and Red Flag Requirements for the Investment Adviser (FE INT) 10773 Overview
Anti-Money Laundering: Beneficial Ownership (FE INT) 9692 Intermediate
NEW! -  Anti-Money Laundering: BSA, USA PATRIOT Act & FINRA Rule 3310 (FE INT) 11260 Overview
NEW! -  Anti-Money Laundering: Customer Identification Programs and Red Flags (FE INT) 10688 Intermediate
Anti-Money Laundering: Customer Identification Programs, Red Flags, Everyday Scenarios and Enforcement Cases (FE INT) 9842 Intermediate
Anti-Money Laundering: Review, Everyday Scenarios, and Enforcement Cases (FE INT) 9873 Intermediate
Anti-Money Laundering: Review, Everyday Scenarios, and Enforcement Cases - Vol. 2 (FE INT) 9918 Overview
Anti-Money Laundering: Technological Challenges (FE INT) 9770 Intermediate
Anti-Sexual Harassment Training 10279 Intermediate
NEW! -  Asset Allocation (FE INT) 11154 Advanced
Auction Rate Securities (FE) 1591 Intermediate
NEW! -  Back Office Functions and Operations (FE INT) 10882 Overview
NEW! -  Bank Secrecy Act (FE INT) 11125 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
Best Execution and Debt Mark Ups (FE INT) 10409 Overview
Blue Sky Laws (FE) 1979 Overview
NEW! -  Books and Records for Operations Professionals (FE INT) 10863 Overview
Books and Records: Representative Responsibilities (FE INT) 10406 Overview
NEW! -  Brokered CDs (FE INT) 11019 Intermediate
Business Continuity Planning (FE INT) 10528 Intermediate
NEW! -  Business Continuity Planning - Vol. 2 (FE INT) 10839 Overview
Business Development Companies (FE) 4491 Intermediate
Business Gifts: A Wholesalers Responsibilities (FE INT) 10054 Intermediate
NEW! -  Buy-Sell Agreements and Business Valuation (FE INT) 11199 Overview
NEW! -  Canada's Anti-Money Laundering and Anti-Terrorism Financing Regime Updates and Case Studies (FE INT) 10759 Overview
Cash Alternatives - FINRA Regulatory Notice 08-82 (FE) 1980 Intermediate
Changes to FINRA Supervision Rules (FE INT) 10561 Overview
Changes to FINRAs Public Communication Rules for Registered Representatives (FE INT) 10142 Overview
Changes to FINRAs Public Communication Rules for Supervisors (FE) 3976 Overview
Class B Mutual Fund Shares (FE) 70 Intermediate
Client Suitability (FE INT) 10092 Overview
NEW! -  Client Suitability for the Investment Advisor (FE INT) 10691 Overview
Closed-End Funds (FE) 4543 Intermediate
Code of Conduct (FE INT) 10537 Overview
NEW! -  Collateralized Mortgage Obligations (CMOs) (FE INT) 11214 Advanced
NEW! -  Common Stocks (FE INT) 11070 Advanced
Communications with the Public for Registered Representatives (FE INT) 10120 Overview
Communications with the Public: Best Practices for Wholesalers (FE INT) 9825 Intermediate
Complex Investment Strategies (FE) 6204 Intermediate
NEW! -  Complex Products and Heightened Supervision (FE INT) 11249 Intermediate
Compliance Safety Measures When Working With Senior Investors (FE INT) 9891 Overview
Conflicts of Interest (FE INT) 9964 Overview
Conflicts of Interest and Investment Advisers (FE INT) 9849 Intermediate
NEW! -  Conflicts of Interest for Institutional Clients (FE INT) 10865 Intermediate
Convertible Securities (FE) 1983 Overview
NEW! -  Corporate and Government Bonds (FE INT) 11065 Intermediate
Corporate Bonds (FE) 2008 Intermediate
Corporate Culture and Supervision - FINRA Enforcement Actions (FE INT) 9882 Intermediate
NEW! -  Crowdfunding (FE INT) 11229 Intermediate
Cryptocurrency (FE INT) 9887 Overview
Customer Data Protection (FE INT) 10157 Overview
Customer Data Protection and the Municipal Securities Representative (FE) 2962 Overview
NEW! -  Customer Due Diligence (CDD) Rule (FE INT) 11256 Overview
Cybersecurity & FINRA (FE INT) 9907 Overview
Cybersecurity (FE INT) 9856 Intermediate
Cybersecurity for Registered Representatives (FE INT) 9755 Intermediate
Cybersecurity for Supervisors (FE INT) 10263 Overview
Cybersecurity: Phishing (FE INT) 9756 Intermediate
NEW! -  Deferred Variable Annuities (FE INT) 11290 Overview
Delaware Anti-Sexual Harassment Training 10392 Intermediate
Delivering Quality Customer Service (FE INT) 10891 Intermediate
NEW! -  Direct Participation Programs: Registered and Unregistered Limited Partnerships (FE INT) 11184 Advanced
Disability Income Insurance (FE) 2772 Advanced
Disclosures in Connection with Primary Offerings (MSRB Rule G-32) (FE INT) 9835 Intermediate
Dodd-Frank Wall Street Reform and Consumer Protection Act (FE) 2535 Advanced
NEW! -  Due Diligence for Investment Advisers (FE INT) 11227 Overview
Economic Growth and Tax Relief Reconciliation Act of 2001 (FE) 77 Intermediate
Economic Indicators (FE) 25 Intermediate
NEW! -  Effective Marketing Strategies Utilizing Social Media (FE INT) 11157 Intermediate
Effects of Market Uncertainty on Retirement Planning (FE) 2773 Intermediate
Electronic Communications for Registered Representatives (FE INT) 10042 Overview
NEW! -  Electronic Communications with the Public for Wholesalers (FE INT) 10895 Intermediate
NEW! -  Equity Indexed Annuities (FE INT) 10665 Advanced
ERISA Qualified Plans - The Financial Advisor's Role (FE INT) 10052 Overview
ETF Investing (FE INT) 10186 Overview
NEW! -  Ethical Standards for Producers (FE INT) 10683 Advanced
Ethics and Professional Conduct (FE INT) 9857 Overview
Ethics and Professional Conduct for the Municipal Securities Representative (FE INT) 10064 Overview
Ethics and the Research Analyst FINRA Conduct Rules (FE INT) 10293 Advanced
Ethics and the Securities Futures Professional (FE INT) 10139 Advanced
Ethics for the Financial Services Professional (FE INT) 10050 Overview
Exchange Traded Notes (ETNs) (FE INT) 10581 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 (FE INT) 10228 Overview
Fee Selection and Reverse Churning (FE INT) 10084 Overview
Financial Exploitation of Specified Adults & Customer Account Information (FINRA Rules 2165 & 4512) (FE INT) 9869 Overview
NEW! -  Financial Performance Evaluation (FE INT) 10866 Advanced
FINRA and SEC Examination Priorities for 2016 (FE) 7148 Overview
FINRA and SEC Examination Priorities for 2017 (FE INT) 10029 Overview
FINRA and SEC Examination Priorities for 2018 (FE) 9529 Overview
NEW! -  FINRA and SEC Examination Priorities for 2019 (FE INT) 11035 Overview
NEW! -  FINRA Back Office Operations (FE INT) 10640 Overview
NEW! -  FINRA Code of Arbitration, Mediation and Procedure (FE INT) 11017 Overview
NEW! -  FINRA Conduct Rules (FE INT) 10985 Intermediate
FINRA Restrictions on Broker Political Contributions (FE) 7653 Overview
FINRA Restrictions on Broker Political Contributions - Vol. 2 (FE INT) 9888 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 (FE) 7703 Overview
NEW! -  FINRA Rule 2330 Supervisory Training (FE INT) 11009 Overview
FINRA Rule 3160 - Networking Arrangements with Members and Financial Institutions (FE INT) 9870 Overview
NEW! -  FINRA Rule 4110: Capital Compliance (FE INT) 11257 Intermediate
NEW! -  FINRA Rule 4530 - Disclosure and Complaint Filings (FE INT) 10642 Overview
FINRA Rules 3130 and 3120: Supervisory Controls (FE INT) 10424 Intermediate
NEW! -  FINRA Suitability Rule 2111: An Institutional Focus (FE INT) 10995 Overview
FINRAs Suitability and Know Your Customer Rules (FINRA Rules 2111 and 2090) (FE INT) 9945 Overview
Fixed and Variable Annuities vs. Mutual Funds (FE INT) 10320 Overview
Fixed Income: Rising Interest Rates (FE) 5345 Intermediate
Fixed Rate Primary Market Offerings (FE) 7790 Overview
Floating-Rate Funds (FE) 5178 Intermediate
Foreign Corrupt Practices Act (FE INT) 9878 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
General Data Protection Regulation (GDPR) (FE INT) 10210 Intermediate
Gifts and Gratuities: Guidance on FINRA Rule 3220 (FE INT) 10003 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 INT) 10425 Overview
NEW! -  Harassment and Discrimination in a Professional Environment for Supervisors (FE INT) 10971 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
How To Read A Prospectus (FE INT) 10215 Intermediate
How to Work with Millennial Investors (FE) 9118 Intermediate
Hybrid Securities (FE) 89 Intermediate
Identifying and Mitigating Conflicts of Interest (FE INT) 10095 Overview
Identity Theft Prevention and the Financial Services Industry (FE INT) 10892 Overview
Identity Theft: It's Everyone's Business (FE INT) 10070 Overview
Information Barriers for the Institutional Firm (FE INT) 9947 Overview
NEW! -  Information Security: Protecting You, Your Clients and Your Firm for the Investment Adviser (FE INT) 10689 Overview
Information Security: Protecting You, Your Clients, and Your Firm (FE INT) 10053 Overview
Insider Trading (FE INT) 10111 Overview
Insider Trading - Vol. 2 (FE INT) 9826 Intermediate
Insider Trading: The Illegal Side (FE INT) 9827 Intermediate
NEW! -  Institutional Advertising and Communications (FE INT) 10788 Intermediate
Institutional Conflicts of Interest (FE INT) 10596 Overview
Institutional Ethics (FE INT) 10170 Overview
Institutional Ethics and Regulation (FE INT) 10135 Overview
Interest, Yield and Price Calculations (FE) 1988 Intermediate
Introduction to 529 Plans (FE) 64 Intermediate
Introduction To Blue Sky Laws (FE) 91 Overview
NEW! -  Introduction to Derivatives (FE INT) 11203 Overview
Introduction To Equity Indexed Annuities (FE) 107 Intermediate
NEW! -  Introduction to Estate Planning (FE INT) 11052 Advanced
NEW! -  Introduction to FINRA Rule 2330 for Registered Representatives (FE INT) 11044 Intermediate
Introduction to Gift and Estate Taxation (FE) 2779 Intermediate
Introduction to Investments (FE) 2947 Intermediate
Introduction To Mutual Fund Investing (FE) 104 Overview
Introduction to Suitability and the Senior Protection Model Regulation (FE INT) 9997 Overview
Introduction to the Securities Industry (FE) 3696 Overview
Investing in Emerging Markets (FE) 4309 Intermediate
Investment Advice for a Fee in Retirement Plans (FE INT) 9862 Overview
Investment Adviser - Fiduciary Responsibilities (FE INT) 9972 Overview
NEW! -  Investment Advisor Code of Ethics (FE INT) 10686 Intermediate
Investment Advisors: Communication Compliance - SEC (FE INT) 10559 Intermediate
Investment Analysis (FE) 2080 Overview
NEW! -  Investment Banking for Equity Professionals (FE INT) 10956 Overview
IPO Allocations (FE) 3559 Overview
IRA Basics (FE) 31 Overview
Life Settlements (FE) 2094 Overview
Making Suitable Recommendations to Customers (FE INT) 10605 Overview
Managed Futures (FE) 96 Intermediate
NEW! -  Managing Electronic Communications (FE INT) 11099 Overview
NEW! -  Margin Trading (FE INT) 10651 Overview
Mark-ups on Fixed Income Securities (FE INT) 9861 Intermediate
NEW! -  Market Linked CDs (FE INT) 10753 Overview
NEW! -  Market Making (FE INT) 11111 Advanced
NEW! -  Market Risk Factors (FE INT) 11114 Advanced
Markets in Financial Instruments Directives: MiFID and MiFID II (FE INT) 9757 Intermediate
NEW! -  Markups on Debt Securities - Riskless Principal (FE INT) 10893 Intermediate
Master Limited Partnerships (MLPs) (FE) 4782 Intermediate
Meeting the Federal Trade Commissions Safeguards Rule (FE) 32 Overview
Mergers & Acquisitions for Investment Bankers (FE INT) 10536 Overview
NEW! -  Mergers & Acquisitions: Roles and Requirements (FE INT) 11014 Intermediate
NEW! -  Mergers and Acquisitions (FE INT) 11060 Intermediate
Microcap Securities Fraud (FE) 6950 Intermediate
Money Markets and CDs (FE) 2964 Intermediate
NEW! -  Monitoring and Supervision of Personal Securities Transactions (FE INT) 10980 Overview
MSRB Rule G-3 (FE) 6855 Overview
MSRB Rule G-42: The Fiduciary Duty Rule (FE) 9809 Overview
MSRB Rules and Risks (FE INT) 10058 Overview
NEW! -  Municipal Advisor Rules (FE INT) 11230 Advanced
NEW! -  Municipal Advisors, Municipal Underwriters, Advice and the MSRB (FE INT) 10935 Intermediate
NEW! -  Municipal Bond Investing and Regulation (FE INT) 10649 Overview
NEW! -  Municipal Issuer Credit Analysis (FE INT) 10871 Overview
Mutual Fund Break Points and Share Classes (FE INT) 10047 Overview
NEW! -  Mutual Fund Class Shares (FE INT) 11002 Intermediate
Mutual Fund Compliance (FE) 1921 Advanced
Mutual Fund Fee Waivers (FE) 6715 Intermediate
Mutual Fund Share Classes and Conflicts of Interest (FE INT) 9758 Intermediate
Mutual Fund Switching: Consequences for Firms, Representatives, and Customers (FE INT) 10163 Overview
Mutual Funds 101 (FE) 2081 Overview
Mutual Funds: Investment Objectives and Risk (FE INT) 10610 Intermediate
NEW! -  Net Unrealized Appreciation (FE INT) 10840 Overview
NEW! -  NFA Ethics (FE INT) 10944 Intermediate
NFA Ethics - Vol. 2 (FE INT) 10631 Intermediate
NEW! -  Non-Traditional ETFs (FE INT) 10938 Advanced
NEW! -  NY & NYC Combating Sexual Harassment in the Workplace (INT) 11200 Overview
NY Combating Sexual Harassment in the Workplace (INT) 10136 Overview
NEW! -  Online Identity Theft Scams (FE INT) 11025 Overview
NEW! -  Options Basics (FE INT) 10993 Overview
Order Execution Qualifiers (FE) 1993 Intermediate
Outside Business Activities and Private Securities Transactions (FE INT) 9855 Overview
Outside Business Activities and Private Securities Transactions - Vol. 2 (FE INT) 9886 Intermediate
Outside Business Activities: A Wholesalers Responsibilities (FE INT) 9946 Overview
Outsourcing to Third-Party Service Providers (FE) 1964 Intermediate
NEW! -  Overview of High Yield Bonds (FE INT) 11271 Overview
Overview of Private Investment in Public Equity (PIPES) (FE) 72 Intermediate
Penny Stock Investing (FE) 1594 Intermediate
Pension Protection Act of 2006 (FE) 86 Advanced
Personal Securities Transactions for Investment Advisers (FE INT) 9852 Intermediate
Phishing Awareness - The Human Factor of Security (FE INT) 10114 Overview
NEW! -  Planning for Senior Needs (FE INT) 10881 Overview
NEW! -  Preventing and Detecting Unauthorized Trading (FE INT) 11188 Intermediate
Preventing Customer Complaints: A Guide for Registered Representatives (FE INT) 10065 Overview
Preventing Personal Identity Theft (FE) 33 Overview
Preventing Sexual Harassment (FE INT) 10632 Overview
NEW! -  Principal Protected Notes (PPNs) (FE INT) 10768 Intermediate
NEW! -  Principles of Asset Allocation (FE INT) 11298 Advanced
Privacy, Confidentiality, and Information Security (FE INT) 10001 Advanced
Private Investments in Public Equities (FE) 2007 Intermediate
Private Placements (FE INT) 10143 Overview
Private Placements - Vol 2. (FE INT) 10524 Overview
Professional Sales Presentations (FE) 1491 Overview
Protecting Senior Investors (FE INT) 9977 Overview
Publicly Traded REITs (FE) 5454 Intermediate
Qualified Plan Rollovers (FE INT) 10063 Intermediate
Quest Annual Compliance Reminders for Registered Representatives - Vol. 1 (FE INT) 10176 Overview
Quest Annual Compliance Reminders for Registered Representatives - Vol. 2 (FE INT) 10113 Overview
Referrals and Prospecting Skills Training (FE) 2966 Overview
Regulation D Private Placements (FE INT) 10203 Intermediate
NEW! -  Regulation NMS (FE INT) 11062 Intermediate
Research Analysts: Research Reports and Conflicts of Interest (FE INT) 10230 Overview
NEW! -  Retail Customer Communications (FE INT) 11179 Overview
Retirement Planning (FE) 2782 Advanced
Reverse Convertible Securities (FE) 2762 Advanced
Rule 144 (FE) 1997 Overview
Rule 144 and 144A: Restricted Stock Sales (FE) 105 Intermediate
NEW! -  Rule 144A: Private Resale of Restricted Securities to Qualified Institutional Buyers (FE INT) 11129 Intermediate
Rules on Internet Availability of Proxy Materials (FE) 94 Overview
Sales Charge Waivers (FE) 6733 Overview
Sarbanes-Oxley Overview (FE) 93 Advanced
NEW! -  SEC Customer Protection Rule 15c3-3 and Federal Reserve Board Regulation T: An Institutional Perspective (FE INT) 11161 Advanced
SEC Large Trade Rule 13h-1 (FE) 4299 Overview
SEC Rule 15c2-12 (INT) 9893 Overview
SEC Rule 15c2-12 - Municipalities Continuing Disclosure Cooperation Initiative (FE) 7652 Intermediate