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2018 FINRA Firm Element Course Catalog

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Course Course ID Level
NEW! -  FINRA - 529 Savings Plans and ABLE Programs 10195 Intermediate
FINRA - Annual Compliance Reminders for Institutional Registered Representatives - Vol. 1 8182 Overview
NEW! -  FINRA - Annual Compliance Reminders for Institutional Registered Representatives - Vol. 2 9416 Overview
FINRA - Annual Compliance Reminders for Institutional Registered Representatives - Vol. 3 8176 Overview
NEW! -  FINRA - Annual Compliance Reminders for Institutional Registered Representatives - Vol. 4 9429 Overview
FINRA - Annual Compliance Reminders for Registered Representatives - Vol. 1 8192 Overview
FINRA - Annual Compliance Reminders for Registered Representatives - Vol. 2 8851 Overview
FINRA - Annual Compliance Reminders for Registered Representatives - Vol. 3 8198 Overview
FINRA - Annual Compliance Reminders for Registered Representatives - Vol. 4 8830 Overview
NEW! -  FINRA - Annual Compliance Reminders for Registered Representatives - Vol. 5 9431 Intermediate
NEW! -  FINRA - Annual Compliance Reminders for Registered Representatives - Vol. 6 9433 Intermediate
NEW! -  FINRA - Annual Compliance Reminders for Registered Representatives - Vol. 8 9858 Intermediate
FINRA - Annual Compliance Reminders for Retail Registered Representatives - Vol. 7 8673 Intermediate
FINRA - Annual Compliance Reminders for Supervisors - Vol. 1 8885 Intermediate
FINRA - Books and Records 8184 Overview
NEW! -  FINRA - Books and Records for Operations Professionals 9645 Intermediate
FINRA - Business Conduct - Institutional: Understanding Information Barriers 9342 Intermediate
FINRA - Business Gifts: Independent Registered Representatives Responsibilities 9049 Intermediate
FINRA - Business Gifts: Institutional Sales Representative Responsibilities 9050 Overview
FINRA - Business Gifts: Registered Representative Responsibilities 9184 Intermediate
FINRA - Business Gifts: Understanding Compliance Responsibilities 9051 Intermediate
FINRA - Business Gifts: Understanding Supervisory Responsibilities 9052 Intermediate
FINRA - Business Gifts: Understanding Wholesaler Responsibilities 9053 Overview
FINRA - Communications With the Public: Compliance Issues for Independent Registered Representatives 8187 Overview
FINRA - Communications With the Public: Compliance Issues for Wholesalers 9185 Overview
FINRA - Communications with the Public: What Retail Staff Need to Know 8181 Overview
FINRA - Conflicts of Interest 9186 Overview
FINRA - Corporate and Governments Bonds: Regulatory Considerations 9337 Intermediate
FINRA - Customer Information Protection for Registered Representatives 8831 Overview
FINRA - Customer Information Protection for Supervisors 9298 Intermediate
FINRA - Cybersecurity - Supervisors: Understanding Your Role 9277 Overview
FINRA - Cybersecurity: Understanding Your Role 8180 Overview
FINRA - Debt Mark-Ups and Disclosure Requirements 9187 Intermediate
FINRA - Electronic Communications: What Independent Registered Representatives Need to Know 9188 Overview
FINRA - Electronic Communications: What Retail Staff Need to Know 8193 Overview
FINRA - Electronic Communications: What Supervisors Need to Know 9189 Intermediate
FINRA - Electronic Communications: What Wholesalers Need to Know 9190 Overview
FINRA - Ethical Considerations for Institutional Sales Representatives 9191 Overview
FINRA - Ethical Considerations for Operations Professionals 9192 Overview
FINRA - Ethical Considerations for Registered Representatives 8188 Overview
FINRA - Ethical Considerations for Supervisors 9193 Overview
FINRA - Exchange-Traded Products: Understanding Leveraged and Inverse ETPs 8174 Overview
NEW! -  FINRA - Fixed Income Suitability: Retail Sales Practices 9413 Intermediate
FINRA - Foreign Corrupt Practice Act: Avoiding Improper Payments 9194 Intermediate
FINRA - Insider Trading 8829 Overview
FINRA - Insider Trading: Understanding Your Responsibilities 8393 Intermediate
NEW! -  FINRA - Institutional Trading Regulations 9401 Overview
NEW! -  FINRA - Municipal Bonds: Regulatory Considerations 9384 Intermediate
FINRA - Outside Business Activities 9195 Overview
FINRA - Outside Business Activities for Independent Registered Representatives 8173 Intermediate
FINRA - Outside Business Activities for Wholesalers 9196 Overview
FINRA - Penny Stock Sales 9309 Intermediate
FINRA - Privacy Considerations: Conducting Business with Institutional Clients 9351 Overview
FINRA - Private Placements: Conducting Reasonable Investigations for Regulation D Offerings 8183 Overview
NEW! -  FINRA - Private Securities Transactions 9435 Intermediate
NEW! -  FINRA - Real Estate Investment Trusts (REITs): Regulatory Considerations 9426 Intermediate
FINRA - Retail Branch Office Supervision: Compliance with Regulations 9054 Overview
FINRA - Retail Branch Office Supervision: Understanding Supervisory Responsibilities 9197 Overview
FINRA - Retail Supervision: Sales to Senior Investors 9338 Overview
FINRA - Senior Investor Issues: Diminished Decisional Capacity 8196 Overview
FINRA - Senior Investor Issues: Financial Exploitation 8337 Intermediate
FINRA - Suitability and Know Your Customer Obligations: FINRA Rules 2111 and 2090 8191 Overview
FINRA - Supervision: FINRA Rules 3110, 3120, 3150, and 3170 9198 Overview
FINRA - Supervision: Obligations for Firms with Institutional Clients 9358 Overview
FINRA - Supervision: Obligations When Monitoring Sales and Trading 9315 Overview
FINRA - Understanding Alternative Mutual Funds 8832 Intermediate
FINRA - Understanding Commodity Futures-Linked Securities 9313 Intermediate
NEW! -  FINRA - Understanding Retail Structured Products 9392 Intermediate
FINRA - Understanding Social Media for Retail Registered Representatives 9199 Overview
FINRA - Use of Social Media for Business Purposes (Video) 5846 Overview
FINRA - Variable Annuities: Regulatory Implications 8175 Overview
FINRA - Variable Annuities: Suitability and Disclosure for New Purchases 9057 Overview
NEW! -  FINRA - Variable Annuities: Suitability Determination for Exchanges 9480 Intermediate
NEW! -  FINRA AML - Bank Affiliated Broker-Dealers: Understanding Your Role - Vol. 1 9422 Intermediate
FINRA AML - Broker-Dealers Conducting Business with Foreign Customers: Understanding Your Role - Vol. 1 9395 Intermediate
FINRA AML - Compliance: Suspicious Activity Surveillance - Part 1 8185 Overview
FINRA AML - Compliance: Suspicious Activity Surveillance - Part 2 8197 Overview
FINRA AML - Independents: More Key Issues 8190 Overview
FINRA AML - Independents: Understanding Your Compliance Obligations 8186 Overview
FINRA AML - Institutional: Customer Identification Procedures 9200 Overview
FINRA AML - Institutional: Escalating Concerns of Unusual Activity and Responsibilities for Due Diligence 9336 Overview
FINRA AML - Institutional: Exploring New Risks 9394 Overview
FINRA AML - Institutional: Identification and Reporting Issues 9335 Overview
FINRA AML - Institutional: More Key Issues 8194 Overview
FINRA AML - Institutional: Recognizing Red Flags 9056 Overview
FINRA AML - Institutional: Understanding Your Compliance Obligations 9055 Overview
FINRA AML - Institutional: Understanding Your Role - Vol. 1 9363 Overview
FINRA AML - Institutional: Your Role in Detecting and Deterring Money Laundering Activity 8189 Overview
FINRA AML - Operations: Customer Identification Procedures 9203 Overview
NEW! -  FINRA AML - Operations: Escalating Concerns of Unusual Activity and Responsibilities for Due Diligence 9419 Overview
NEW! -  FINRA AML - Operations: More Key Issues 9397 Overview
FINRA AML - Operations: Recognizing Red Flags 9201 Overview
FINRA AML - Operations: Understanding Your Compliance Obligations 9364 Overview
NEW! -  FINRA AML - Operations: Understanding Your Role - Vol. 1 9420 Overview
FINRA AML - Operations: Your Role in Detecting and Deterring Money-Laundering Activity 9365 Overview
FINRA AML - Retail: Customer Due Diligence 9361 Intermediate
NEW! -  FINRA AML - Retail: Customer Identification Procedures 9418 Intermediate
FINRA AML - Retail: More Key Issues 9359 Intermediate
NEW! -  FINRA AML - Retail: Understanding Your Compliance Obligations 9411 Intermediate
NEW! -  FINRA AML - Retail: Understanding Your Role - Vol. 3 9437 Intermediate
FINRA AML - Retail: Understanding Your Role - Vol. 4 8762 Intermediate
NEW! -  FINRA AML - Retail: Your Role in Detecting and Deterring Money-Laundering Activity 9396 Intermediate
NEW! -  FINRA AML - Supervisors: Understanding Your Role 9438 Intermediate
FINRA AML - Supervisors: Understanding Your Role - Vol. 2 9083 Overview
FINRA AML - Wholesalers: Understanding Your Compliance Obligations 9205 Overview
FINRA AML - Wholesalers: Your Role in Detecting and Deterring Money-Laundering Activity 9206 Overview