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2022 Firm Element Course Catalog
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Course Course ID Level
1031 Exchanges (FE INT) 10726 Advanced
401(k)s and Qualified Plans (FE INT) 11543 Advanced
529 Plans and ABLE Programs (FE INT) 11084 Overview
NEW! -  A Professionals Guide to Ethical Decision Making (FE INT) 17643 Overview
A Professionals Guide to FINRA Rules on Variable Annuities and Variable Insurance Prospecting (FE INT) 10890 Intermediate
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) 17644 Intermediate
Advanced Anti-Money Laundering Overview (FE INT) 9746 Advanced
Advanced Asset Allocation (FE INT) 11098 Advanced
Advanced Cryptocurrency: The Race to Regulate (FE INT) 17171 Overview
Advanced Look at Collective Funds (FE INT) 12262 Advanced
Advanced Look at Insider Trading (FE INT) 10110 Advanced
Advanced Look at Mutual Funds (FE INT) 10998 Advanced
Advanced Options Strategies (FE INT) 10996 Advanced
Advanced Private Placements (FE INT) 10048 Advanced
Advanced Structured Products (FE INT) 10220 Advanced
Advertising Guidelines for Investment Advisers (FE INT) 13026 Overview
Alternative Investment Companies (FE INT) 11580 Intermediate
NEW! -  Alternative Investment Compliance Issues for RIAs (FE INT) 18196 Overview
Alternative Investment Strategies: Currency (FE INT) 12342 Advanced
Alternative Investment Strategies: Long/Short (FE INT) 12205 Advanced
Alternative Investment Strategies: Market Neutral (FE INT) 12760 Advanced
Alternative Investment Strategies: Multi-Alternative (FE INT) 11927 Advanced
Alternative Investments (FE INT) 10560 Intermediate
Alternative Investments: Now Part of Mainstream Investing (FE INT) 10878 Intermediate
NEW! -  Alternative Mutual Funds (FE INT) 17656 Overview
Alternative Mutual Funds - Liquid Alternatives (FE INT) 10937 Overview
Alternative Mutual Funds and Retail Customer Suitability (FE INT) 10729 Intermediate
Alternative Mutual Funds: Fundamentals, Risks and Suitability (FE INT) 16332 Overview
AML Focus on Politically Exposed Persons and Senior Foreign Political Figures (FE INT) 15696 Overview
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
An Overview of FINRA Advertising Rules (FE INT) 12791 Overview
An Overview of Fixed Income Securities (FE INT) 11015 Overview
NEW! -  An Overview to the Custody Rule (FE INT) 18467 Overview
Annual AML Update: COVID-19 Risks, Legislative Updates, and Enforcement Actions (FE INT) 15475 Overview
NEW! -  Annual AML Update: Cryptocurrency, Regulatory Guidance, and Enforcement (INT) 17476 Overview
Annual AML Update: Review of Regulatory Guidance and Enforcement (FE INT) 12604 Overview
Annual Compliance Reminders for Institutional Registered Representatives - Vol. 1 (FE INT) 10068 Intermediate
NEW! -  Annual Compliance Reminders For Institutional Registered Representatives - Vol. 2 (FE INT) 17649 Intermediate
Annuities: Owner Driven and Annuitant Driven Contracts (FE INT) 11417 Intermediate
Annuity Basics (FE INT) 11204 Overview
Anti-Fraud Programs and Controls (FE INT) 10894 Advanced
Anti-Fraud Programs and Controls for the Investment Advisor (FE INT) 10158 Advanced
NEW! -  Anti-Money Laundering and Red Flags for Institutional Clients (FE INT) 17661 Overview
NEW! -  Anti-Money Laundering and Red Flags for Institutional Clients - Vol. 2 (FE INT) 17670 Overview
NEW! -  Anti-Money Laundering and the Red Flag Rule (FE INT) 17671 Overview
Anti-Money Laundering Compliance Obligations for Retail Representatives (FE INT) 9950 Intermediate
Anti-Money Laundering Considerations for Banks (FE INT) 10943 Intermediate
Anti-Money Laundering Detection and Prevention for Agents (FE INT) 10692 Overview
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
NEW! -  Anti-Money Laundering for Financial Services Professionals (FE INT) 17672 Overview
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 (FE INT) 9834 Intermediate
Anti-Money Laundering for Municipal Securities Representatives (FE INT) 11027 Overview
Anti-Money Laundering for Retail Representatives (FE INT) 9828 Overview
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) 17673 Overview
Anti-Money Laundering Regulations and Red Flag Requirements for U.S. Investment Advisers (FE INT) 10773 Overview
NEW! -  Anti-Money Laundering: Beneficial Ownership (FE INT) 17674 Intermediate
Anti-Money Laundering: BSA, USA PATRIOT Act & FINRA Rule 3310 (FE INT) 11260 Overview
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
NEW! -  Anti-Sexual Harassment Training 17676 Intermediate
Asset Allocation (FE INT) 11154 Advanced
Auction Rate Securities (FE) 1591 Intermediate
Back Office Functions and Operations (FE INT) 10882 Overview
Bank Secrecy Act (FE INT) 11125 Intermediate
Basics of 403(b) Plans (FE INT) 12757 Overview
Basics of Bond Investing (FE INT) 12540 Overview
Basics of Investing (FE INT) 11343 Overview
Basics of Stock Investing (FE INT) 12160 Overview
NEW! -  Best Execution and Debt Mark Ups (FE INT) 17677 Overview
NEW! -  Block Trading: An Advisor's Best Friend? (FE INT) 17905 Overview
Blue Sky Laws (FE INT) 11932 Overview
Books and Records for Operations Professionals (FE INT) 10863 Overview
NEW! -  Books and Records: Representative Responsibilities (FE INT) 17678 Overview
Brokered CDs (FE INT) 11019 Intermediate
Business Continuity Planning (FE INT) 10528 Intermediate
Business Continuity Planning - Vol. 2 (FE INT) 10839 Overview
Business Development Companies (FE INT) 11323 Intermediate
Business Gifts: A Wholesalers Responsibilities (FE INT) 10054 Intermediate
Buy-Sell Agreements and Business Valuation (FE INT) 11199 Overview
California Consumer Privacy Act (CCPA) (FE INT) 12347 Overview
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
NEW! -  Challenges Facing New CCOs (FE INT) 18449 Overview
NEW! -  Changes to FINRA Supervision Rules (FE INT) 17679 Overview
NEW! -  Changes to FINRAs Public Communication Rules for Registered Representatives (FE INT) 17680 Overview
Changes to FINRAs Public Communication Rules for Supervisors (FE INT) 11331 Overview
Class B Mutual Fund Shares (FE) 70 Intermediate
NEW! -  Client Suitability (FE INT) 17682 Overview
NEW! -  Client Suitability for the Investment Advisor (FE INT) 17689 Overview
Closed-End Funds (FE INT) 12206 Intermediate
NEW! -  Code of Conduct (FE INT) 17691 Overview
Collateralized Mortgage Obligations (CMOs) (FE INT) 11214 Advanced
Common Stocks (FE INT) 11070 Advanced
Communications with the Public for Registered Representatives (FE INT) 10120 Overview
NEW! -  Communications with the Public: Best Practices for Wholesalers (FE INT) 18046 Intermediate
Complex Investment Strategies (FE INT) 11466 Intermediate
Complex Products and Heightened Supervision (FE INT) 11249 Intermediate
Compliance Issues for Fixed Income Securities Including Structured Notes (FE INT) 15869 Overview
NEW! -  Compliance Safety Measures When Working With Senior Investors (FE INT) 17696 Overview
Conducting Business in a Pandemic: BCP and Regulatory Guidance (FE INT) 15391 Overview
NEW! -  Conflicts of Interest (FE INT) 17697 Overview
Conflicts of Interest and Investment Advisers (FE INT) 9849 Intermediate
Conflicts of Interest for Institutional Clients (FE INT) 10865 Intermediate
NEW! -  Conservation Easements & Opportunity Zones (FE INT) 17867 Overview
NEW! -  Consolidated Audit Trail (CAT) (FE INT) 17592 Intermediate
Convertible Securities (FE) 1983 Overview
Corporate and Government Bonds (FE INT) 11065 Intermediate
Corporate Bonds (FE INT) 12403 Overview
Corporate Culture and Supervision - FINRA Enforcement Actions (FE INT) 9882 Intermediate
Corporate Culture, Supervision and Remote Work Challenges (FE INT) 17133 Intermediate
Crowdfunding (FE INT) 11229 Intermediate
Cryptocurrency (FE INT) 9887 Overview
Customer Complaints and Dispute Resolution (FE INT) 12635 Overview
NEW! -  Customer Data Protection (FE INT) 17698 Overview
Customer Data Protection and the Municipal Securities Representative (FE INT) 11467 Overview
Customer Due Diligence (CDD) Rule (FE INT) 11256 Overview
NEW! -  Cybersecurity & FINRA (FE INT) 17703 Overview
NEW! -  Cybersecurity (FE INT) 17700 Intermediate
NEW! -  Cybersecurity for Registered Representatives (FE INT) 17704 Intermediate
Cybersecurity for Supervisors (FE INT) 10263 Overview
Cybersecurity: Modern Regulatory Resources and Case Studies (FE INT) 16016 Overview
NEW! -  Cybersecurity: Phishing (FE INT) 17706 Intermediate
Deferred Variable Annuities (FE INT) 11290 Overview
Delaware Anti-Sexual Harassment Training 10392 Intermediate
Delivering Quality Customer Service (FE INT) 10891 Intermediate
Department of Labor Prohibited Transaction Exemptions (PTE) (FE INT) 17172 Overview
Digital Assets (FE INT) 11410 Overview
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 INT) 12294 Advanced
Due Diligence for Investment Advisers (FE INT) 11227 Overview
Economic Growth and Tax Relief Reconciliation Act of 2001 (FE) 77 Intermediate
Economic Indicators (FE INT) 11337 Intermediate
Effective Marketing Strategies Utilizing Social Media (FE INT) 11157 Intermediate
Effects of Market Uncertainty on Retirement Planning (FE) 2773 Intermediate
NEW! -  Electronic Communications for Registered Representatives (FE INT) 17708 Overview
Electronic Communications with the Public for Wholesalers (FE INT) 10895 Intermediate
NEW! -  Elements for an Effective Ethics and Compliance Program (FE INT) 17829 Overview
Equity Indexed Annuities (FE INT) 10665 Advanced
NEW! -  ERISA Qualified Plans - The Financial Advisor's Role (FE INT) 17710 Overview
ETF Investing (FE INT) 10186 Overview
Ethical Issues Facing the Financial Services Industry (FE INT) 13133 Overview
Ethical Standards for Producers (FE INT) 10683 Advanced
NEW! -  Ethics and Professional Conduct (FE INT) 17711 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 INT) 11904 Intermediate
NEW! -  FACT Act of 2003 - The Red Flag Rules (FE INT) 17712 Overview
NEW! -  Fails and Fines: Regulatory Do's and Don'ts (FE INT) 17713 Overview
Fee Selection and Reverse Churning (FE INT) 10084 Overview
NEW! -  Financial Exploitation of Specified Adults & Customer Account Information (FINRA Rules 2165 & 4512) (FE INT) 17714 Overview
Financial Performance Evaluation (FE INT) 10866 Advanced
FINRA and SEC Examination Priorities for 2016 (FE INT) 11560 Overview
FINRA and SEC Examination Priorities for 2017 (FE INT) 10029 Overview
FINRA and SEC Examination Priorities for 2018 (FE) 9529 Overview
FINRA and SEC Examination Priorities for 2019 (FE INT) 11035 Overview
FINRA and SEC Examination Priorities for 2020 (FE INT) 12640 Overview
FINRA and SEC Examination Priorities for 2021 (FE INT) 15733 Overview
NEW! -  FINRA and SEC Examination Priorities for 2022 (FE INT) 17858 Overview
FINRA Back Office Operations (FE INT) 10640 Overview
FINRA Code of Arbitration, Mediation and Procedure (FE INT) 11017 Overview
FINRA Conduct Rules (FE INT) 10985 Intermediate
FINRA Restrictions on Broker Political Contributions (FE INT) 11561 Overview
FINRA Restrictions on Broker Political Contributions - Vol. 2 (FE INT) 9888 Intermediate
FINRA Rule 1230(b)(6): Operations Professional Registration (FE INT) 11569 Intermediate
FINRA Rule 2210: The BrokerCheck Amendment (FE INT) 11592 Overview
FINRA Rule 2273 - Educational Communication Related to Recruitment Practices and Account Transfers (FE INT) 11491 Overview
FINRA Rule 2330 Supervisory Training (FE INT) 11009 Overview
FINRA Rule 3160 - Networking Arrangements with Members and Financial Institutions (FE INT) 9870 Overview
FINRA Rule 4110: Capital Compliance (FE INT) 11257 Intermediate
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) 17715 Overview
NEW! -  FINRAs Suitability and Know Your Customer Rules (FINRA Rules 2111 and 2090) (FE INT) 17716 Overview
Fixed and Variable Annuities vs. Mutual Funds (FE INT) 10320 Overview
Fixed Income Transaction Reporting (FE INT) 12703 Overview
Fixed Income: Rising Interest Rates (FE INT) 11423 Intermediate
Fixed Rate Primary Market Offerings (FE INT) 11582 Overview
Floating-Rate Funds (FE INT) 11570 Intermediate
Foreign Corrupt Practices Act (FE INT) 9878 Overview
NEW! -  Foreign Exchange Derivatives (FE INT) 18367 Overview
Forex Currency Trading (FE INT) 12405 Advanced
Forms of Business Ownership and Legal Organization (FE INT) 12275 Overview
Futures and Managed Funds (FE) 1987 Advanced
Futures Markets (FE INT) 11721 Advanced
General Data Protection Regulation (GDPR) (FE INT) 10210 Intermediate
NEW! -  Gifts and Gratuities: Guidance on FINRA Rule 3220 (FE INT) 17718 Overview
Government Sponsored Enterprises and Home Financing (FE INT) 11758 Overview
Government-Sponsored Enterprises (GSEs) (FE INT) 11554 Intermediate
Gramm-Leach-Bliley Act (FE INT) 12213 Overview
NEW! -  Guide to Electronic Communications: Blogs, Bulletin Boards, Chat Rooms, Social Networks and Websites (FE INT) 17719 Overview
NEW! -  Harassment and Discrimination in a Professional Environment (FE INT) 17721 Overview
Harassment and Discrimination in a Professional Environment for Supervisors (FE INT) 10971 Overview
Hedge Fund Investing (FE INT) 11739 Overview
Hedge Fund Investing: Regulatory Concerns and Issues (FE INT) 11854 Overview
NEW! -  Heightened Supervision: Who, When, Why, and How (FE INT) 17722 Overview
How To Read A Prospectus (FE INT) 10215 Intermediate
NEW! -  How to Work with Millennial Investors (FE INT) 17726 Intermediate
Hybrid Securities (FE) 89 Intermediate
NEW! -  Identifying and Mitigating Conflicts of Interest (FE INT) 17728 Overview
NEW! -  Identity Theft Prevention and the Financial Services Industry (FE INT) 17730 Overview
NEW! -  Identity Theft: It's Everyone's Business (FE INT) 17732 Overview
Information Barriers for the Institutional Firm (FE INT) 9947 Overview
Information Security: Protecting You, Your Clients and Your Firm for the Investment Adviser (FE INT) 10689 Overview
NEW! -  Information Security: Protecting You, Your Clients, and Your Firm (FE INT) 17734 Overview
NEW! -  Insider Trading (FE INT) 17736 Overview
Insider Trading - Vol. 2 (FE INT) 9826 Intermediate
NEW! -  Insider Trading: The Illegal Side (FE INT) 17737 Intermediate
Institutional Advertising and Communications (FE INT) 10788 Intermediate
Institutional Conflicts of Interest (FE INT) 10596 Overview
NEW! -  Institutional Ethics (FE INT) 17738 Overview
Institutional Ethics and Regulation (FE INT) 10135 Overview
Interest, Yield and Price Calculations (FE) 1988 Intermediate
Introduction to 529 Plans (FE INT) 11666 Intermediate
Introduction To Blue Sky Laws (FE) 91 Overview
Introduction to Derivatives (FE INT) 11203 Overview
Introduction To Equity Indexed Annuities (FE INT) 11740 Intermediate
Introduction to Estate Planning (FE INT) 11052 Advanced
Introduction to FINRA Rule 2330 for Registered Representatives (FE INT) 11044 Intermediate
Introduction to Gift and Estate Taxation (FE INT) 12420 Intermediate
NEW! -  Introduction to Investment Adviser Compliance (FE INT) 18124 Overview
Introduction to Investment Adviser Compliance (IA INT) 17863 Overview
Introduction to Investments (FE INT) 11386 Intermediate
Introduction to Mutual Fund Investing (FE INT) 12764 Overview
Introduction to Retirement Plans (FE INT) 16207 Overview
Introduction to Suitability and the Senior Protection Model Regulation (FE INT) 9997 Overview
Introduction to the Industry for Investment Advisors (INT) 17802 Overview
Introduction to the Securities Industry (FE) 3696 Overview
Investing in Emerging Markets (FE INT) 12386 Intermediate
Investment Advice for a Fee in Retirement Plans (FE INT) 9862 Overview
NEW! -  Investment Adviser - Fiduciary Responsibilities (FE INT) 17739 Overview
NEW! -  Investment Advisor Code of Ethics (FE INT) 17740 Intermediate
Investment Advisors: Communication Compliance - SEC (FE INT) 10559 Intermediate
Investment Analysis (FE INT) 11591 Overview
Investment Banking for Equity Professionals (FE INT) 10956 Overview
Investment Suitability for Clients (FE INT) 17294 Overview
IPO Allocations (FE INT) 11790 Overview
IRA Basics (FE INT) 11475 Overview
Life Settlements (FE INT) 12542 Overview
Making Suitable Recommendations to Customers (FE INT) 10605 Overview
Managed Futures (FE) 96 Intermediate
Managing Electronic Communications (FE INT) 11099 Overview
Margin Trading (FE INT) 10651 Overview
Mark-ups on Fixed Income Securities (FE INT) 9861 Intermediate
Market Linked CDs (FE INT) 10753 Overview
NEW! -  Market Making (FE INT) 17741 Advanced
Market Risk Factors (FE INT) 11114 Advanced
Markets in Financial Instruments Directives: MiFID and MiFID II (FE INT) 9757 Intermediate
Markups on Debt Securities - Riskless Principal (FE INT) 10893 Intermediate
Master Limited Partnerships (MLPs) (FE INT) 12187 Intermediate
Meeting the Federal Trade Commissions Safeguards Rule (FE) 32 Overview
Mergers & Acquisitions for Investment Bankers (FE INT) 10536 Overview
Mergers & Acquisitions: Market Update and Compliance Due Diligence for M&A Professionals (FE INT) 11952 Overview
Mergers & Acquisitions: Roles and Requirements (FE INT) 11014 Intermediate
Mergers and Acquisitions (FE INT) 11060 Intermediate
Mergers and Acquisitions: 2020 and Beyond (FE INT) 16264 Overview
Microcap Securities Fraud (FE INT) 11800 Intermediate
Money Markets and CDs (FE INT) 12017 Intermediate
NEW! -  Monitoring and Supervision of Personal Securities Transactions (FE INT) 17742 Overview
MSRB Advertising Rules (FE INT) 11539 Overview
MSRB G-43: Governing the Activities of Broker's Brokers (FE INT) 13135 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
Municipal Advisor Rules (FE INT) 11230 Advanced
Municipal Advisors, Municipal Underwriters, Advice and the MSRB (FE INT) 10935 Intermediate
Municipal Bond Investing and Regulation (FE INT) 10649 Overview
Municipal Issuer Credit Analysis (FE INT) 10871 Overview
Mutual Fund Break Points and Share Classes (FE INT) 10047 Overview
Mutual Fund Class Shares (FE INT) 11002 Intermediate
Mutual Fund Compliance (FE INT) 12043 Advanced
NEW! -  Mutual Fund Fee Waivers (FE INT) 17744 Intermediate
Mutual Fund Share Classes and Conflicts of Interest (FE INT) 9758 Intermediate
Mutual Fund Suitability Under FINRA and SEC Rules (FE INT) 16064 Overview
Mutual Fund Switching: Consequences for Firms, Representatives, and Customers (FE INT) 10163 Overview
Mutual Funds 101 (FE INT) 11431 Overview
Mutual Funds: Investment Objectives and Risk (FE INT) 10610 Intermediate
Net Unrealized Appreciation (FE INT) 10840 Overview
New York's Best Interest Amendment to Regulation 187 (FE) 11376 Overview
NFA Ethics (FE INT) 10944 Intermediate
NFA Ethics - Vol. 2 (FE INT) 10631 Intermediate
Non-Traditional ETFs (FE INT) 10938 Advanced
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) 17745 Overview
Options Basics (FE INT) 10993 Overview
Order Execution Qualifiers (FE INT) 12042 Intermediate
NEW! -  Outside Business Activities and Private Securities Transactions (FE INT) 17746 Overview
NEW! -  Outside Business Activities and Private Securities Transactions - Vol. 2 (FE INT) 17747 Intermediate
Outside Business Activities and Private Securities Transactions - Vol. 3 (FE INT) 16703 Overview
Outside Business Activities: A Wholesalers Responsibilities (FE INT) 9946 Overview
Outsourcing to Third-Party Service Providers (FE INT) 12058 Intermediate
Overview of High Yield Bonds (FE INT) 11271 Overview
Overview of Private Investment in Public Equity (PIPES) (FE INT) 12199 Intermediate
Penny Stock Investing (FE INT) 11555 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
Planning for Senior Needs (FE INT) 10881 Overview
Portfolio Management for Investment Advisors (FE INT) 16434 Overview
Preventing and Detecting Unauthorized Trading (FE INT) 11188 Intermediate
NEW! -  Preventing Customer Complaints: A Guide for Registered Representatives (FE INT) 17749 Overview
NEW! -  Preventing False Rumors and Market Manipulation for Supervisors (FE INT) 17500 Intermediate
Preventing Personal Identity Theft (FE INT) 11571 Overview
Preventing Sexual Harassment (FE INT) 10632 Overview
Principal Protected Notes (PPNs) (FE INT) 10768 Intermediate
Principles of Asset Allocation (FE INT) 11298 Advanced
NEW! -  Privacy, Confidentiality, and Information Security (FE INT) 17751 Advanced
Private Investments in Public Equities (FE INT) 12201 Intermediate
Private Placements (FE INT) 10143 Overview
Private Placements - Vol. 2 (FE INT) 10524 Overview
Professional Sales Presentations (FE INT) 11462 Overview
Protecting Senior Investors (FE INT) 9977 Overview
Publicly Traded REITs (FE INT) 12758 Intermediate
NEW! -  Qualified Plan Rollovers (FE INT) 17754 Intermediate
Quest Annual Compliance Reminders for Registered Representatives - Vol. 1 (FE INT) 10176 Overview
NEW! -  Quest Annual Compliance Reminders for Registered Representatives - Vol. 2 (FE INT) 17755 Overview
Referrals and Prospecting Skills (FE INT) 11308 Overview
Reg BI Compliance for Broker Dealer Representatives and Principals 15607 Overview
Reg BI Considerations for Variable Annuity Recommendations (FE INT) 15762 Overview
NEW! -  Regulation Best Interest (Reg BI) and Associated Materials (FE INT) 17757 Overview
NEW! -  Regulation Best Interest: SEC Resources & FINRA Involvement (FE INT) 18194 Intermediate
NEW! -  Regulation Best Interest: SEC Resources & FINRA Involvement for Supervisors (FE INT) 18195 Intermediate
Regulation D Private Placements (FE INT) 10203 Intermediate
Regulation M - Curbing Market Manipulation (FE INT) 14549 Intermediate
Regulation NMS (FE INT) 11062 Intermediate
NEW! -  Required Minimum Distributions (RMDs) for the New Roaring Twenties (FE INT) 17727 Overview
NEW! -  Research Analysts: Reports, Rules, and Recent SEC Cases (FE INT) 18618 Intermediate
Research Analysts: Research Reports and Conflicts of Interest (FE INT) 10230 Overview
Retail Customer Communications (FE INT) 11179 Overview
Retirement Planning (FE INT) 11319 Advanced
Reverse Convertible Securities (FE INT) 12226 Advanced
Rule 144 (FE INT) 12256 Overview
Rule 144 and 144A: Restricted Stock Sales (FE INT) 12167 Intermediate
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
SEC Customer Protection Rule 15c3-3 and Federal Reserve Board Regulation T: An Institutional Perspective (FE INT) 11161 Advanced
NEW! -  SEC Large Trade Rule 13h-1 (FE INT) 17758 Overview
SEC Regulation Best Interest FAQs, Guidance and Exam Preparedness (FE INT) 13053 Overview
SEC Rule 15c2-12 (INT) 9893 Overview
SEC Rule 15c2-12 - Municipalities Continuing Disclosure Cooperation Initiative (FE INT) 11464 Intermediate
NEW! -  SEC Rule 15c3-5: Market Access Rule (FE INT) 17759 Overview
Section 1035 Exchanges (FE INT) 10994 Intermediate
Section 529 Plans (FE INT) 10870 Intermediate
SECURE Act of 2019 (FE INT) 12663 Overview
Securities Trading (FE INT) 11495 Advanced
Security Analysis (FE INT) 11189 Advanced
NEW! -  Security Best Practices for Remote Workers Amid COVID-19 (FE INT) 17760 Overview
NEW! -  Senior Exploitation & Regulatory Concerns (FE INT) 17761 Overview
Senior Safe Act Training (FE INT) 11372 Overview
Sexual Harassment: Awareness, Perception, and Prevention (FE INT) 12144 Overview
NEW! -  Short Selling & Reg SHO (FE INT) 17650 Intermediate
Social Media for Financial Professionals: Creating Compelling and Compliant Content (FE INT) 12780 Overview
Social Media for Investment Advisers (FE INT) 13025 Overview
NEW! -  Social Media: Best Practices for Registered Representatives (FE INT) 17762 Overview
NEW! -  Social Media: Communications with the Public in an Electronic Environment (FE INT) 17766 Overview
Social Media: Supervision of Online Communications (FE INT) 11058 Overview
NEW! -  Special Purpose Acquisition Companies: Understanding SPAC History and Future (FE INT) 17596 Overview
Special Purpose Acquisition Company (SPAC) (FE INT) 11801 Intermediate
Split Dollar Plans (FE) 83 Advanced
Spreading False Rumors and Market Manipulation (FE INT) 11855 Overview
SRO Rules for Registered Representatives (FE INT) 10112 Intermediate
Standards for Public Communications (FE INT) 10864 Overview
Structured Products (FE INT) 10769 Intermediate
Structured Sale Annuity (FE) 2784 Advanced
Structuring, Pricing, and Executing Municipal Debt Products (FE INT) 10751 Overview
Suitability for Retail Representatives (FE INT) 12586 Overview
Suitability Obligations to Institutional Customers (FE INT) 10730 Overview
Suitability of Variable Annuity Products (FE INT) 9998 Advanced
Suitability of Variable Products (FE INT) 10981 Advanced
NEW! -  Suitability: Red Flags for Seniors (FE INT) 17767 Overview
Supervising Alternative Investments (FE INT) 9872 Overview
Supervision of Electronic Communications (FE INT) 10723 Intermediate
Supervision of Electronic Communications for Institutional Clients (FE INT) 12061 Overview
Supervision of Institutional Representatives (FE INT) 10611 Overview
Supervision of Life Insurance Professionals (FE INT) 12402 Advanced
Supervision of Municipal Securities Representatives (FE INT) 10949 Intermediate
Supervision of Registered Representatives (FE INT) 10410 Intermediate
Taxable Fixed Income Investing (FE INT) 11842 Advanced
The ABC's of ESG - Environmental, Social and Governance Investing (FE INT) 11326 Intermediate
The Canadian Anti-Money Laundering and Anti-Terrorism Financing Regime (INT) 9899 Overview
The OTC Markets (FE INT) 11023 Overview
NEW! -  The Role of the FINOP (FE INT) 17768 Advanced
The Role of the Operations Professional (FE INT) 10216 Overview
The SEC's New Marketing Rule: Updated Guidance for Investment Advisors (FE INT) 15907 Overview
The Volcker Rule (FE INT) 11012 Overview
TRACE Reporting (FE INT) 9889 Intermediate
Treatment of Non-Cash Compensation (FE INT) 9864 Overview
NEW! -  Types of Accounts (FE INT) 17770 Intermediate
Types of Fixed Annuities (FE) 98 Overview
Types of Market Orders (FE INT) 12759 Overview
Types of Trusts (FE INT) 11226 Overview
U.S. Government Agency Securities (FE INT) 11158 Intermediate
U.S. Government Securities (FE INT) 11853 Advanced
Understanding Basic Economic Concepts (FE INT) 11320 Overview
NEW! -  Understanding Clearing Firms and Risk Management (FE INT) 17771 Intermediate
NEW! -  Understanding Complex Products (FE INT) 17772 Intermediate
Understanding ERISA (FE INT) 10418 Intermediate
Understanding Mortgage-Backed Securities (MBS) (FE INT) 12198 Intermediate
Understanding Municipal Finance (FE INT) 11080 Overview
NEW! -  Understanding the JOBS Act of 2012 (FE INT) 17773 Intermediate
Understanding the Office of Foreign Assets Control (OFAC) (FE INT) 10869 Overview
Understanding the Role of the SIPC (FE INT) 12263 Overview
Unit Investment Trusts (UITs) (FE INT) 10283 Intermediate
Unregistered Resale of Restricted Securities: Regulatory Notice 09-05 (FE INT) 11307 Intermediate
Variable Annuities: The L Share Class (FE INT) 10169 Intermediate
Variable Index Annuities (FE INT) 11590 Overview
Whistleblower Rule Compliance (FE INT) 10109 Overview
Working Towards Diversity and Inclusion in the Workplace (FE INT) 13054 Overview
Wrap Fee Accounts (FE INT) 10802 Overview
Zero-Coupon Bonds (FE) 2005 Intermediate