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2019 Investment Advisor Course Catalog

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Course Course ID Level
NEW! -  A Professionals Guide to Ethical Decision Making (IA INT) 11222 Overview
NEW! -  Advanced Anti-Money Laundering Overview (IA INT) 11185 Advanced
Advanced Look at Collective Funds (IA) 8091 Advanced
NEW! -  Advanced Look at Insider Trading (IA INT) 11196 Advanced
NEW! -  Advertising Guidelines for Investment Advisers (IA INT) 11008 Overview
Alternative Investments (INT) 10731 Intermediate
An Introduction to Collective Funds (IA) 8093 Overview
NEW! -  An Overview of Fixed Income Securities (IA INT) 11269 Overview
Anti-Fraud Programs and Controls for the Investment Advisor (IA) 2528 Advanced
NEW! -  Anti-Money Laundering for Financial Services Professional (IA INT) 11205 Overview
Anti-Money Laundering for Investment Advisers (INT) 10670 Intermediate
NEW! -  Anti-Money Laundering Regulations and Red Flag Requirements for U.S. Investment Advisers (IA INT) 11043 Overview
NEW! -  Anti-Money Laundering: Regulatory Impact of Custodial Relationships with Investment Advisors (IA INT) 11396 Overview
NEW! -  Anti-Money Laundering: Technological Challenges (IA INT) 11277 Overview
Client Suitability for the Investment Advisor (IA INT) 10122 Overview
NEW! -  Code of Conduct (IA INT) 11272 Overview
NEW! -  Conflicts of Interest and Investment Advisers (IA INT) 11273 Intermediate
Corporate Bonds (FE) 9477 Intermediate
NEW! -  Customer Data Protection (IA INT) 11193 Overview
NEW! -  Cybersecurity (IA INT) 11130 Intermediate
NEW! -  Cybersecurity: Phishing (IA INT) 11178 Intermediate
NEW! -  Due Diligence for Investment Advisers (IA INT) 11228 Overview
Effective Marketing Strategies Utilizing Social Media (IA INT) 10141 Intermediate
NEW! -  Ethics and Professional Conduct (IA INT) 11210 Overview
NEW! -  Ethics for the Financial Services Professional (IA INT) 11274 Overview
NEW! -  Financial Exploitation of Specified Adults & Customer Account Information (IA INT) 11285 Overview
FINRA and SEC Examination Priorities for 2017 (IA) 8331 Overview
NEW! -  Foreign Corrupt Practices Act (IA INT) 11045 Overview
NEW! -  Harassment and Discrimination in a Professional Environment (IA INT) 11215 Overview
NEW! -  Harassment and Discrimination in a Professional Environment for Supervisors (IA INT) 11286 Overview
NEW! -  Identity Theft Prevention and the Financial Services Industry (IA INT) 11216 Overview
Information Security: Protecting You, Your Clients and Your Firm for the Investment Adviser (IA INT) 10538 Overview
NEW! -  Insider Trading (IA INT) 11276 Overview
NEW! -  Insider Trading: The Illegal Side (IA INT) 11287 Intermediate
NEW! -  Introduction to the Industry for Investment Advisors (IA INT) 11549 Overview
NEW! -  Investment Adviser - Fiduciary Responsibilities (IA INT) 10643 Overview
Investment Advisers: Communication Compliance & the SEC (IA INT) 10049 Overview
Investment Advisor Code of Ethics (IA INT) 9973 Intermediate
Investment Advisor Custody Rule (IA INT) 10595 Overview
NEW! -  Net Unrealized Appreciation (IA INT) 11278 Overview
NEW! -  New York's Best Interest Amendment to Regulation 187 (IA) 11377 Overview
NEW! -  Online Identity Theft Scams (IA INT) 11206 Overview
NEW! -  Personal Securities Transactions for Investment Advisers (IA INT) 11279 Intermediate
NEW! -  Phishing Awareness - The Human Factor of Security (IA INT) 11280 Overview
NEW! -  Political Contributions and Pay-to-Play for Investment Advisors (IA INT) 10934 Overview
NEW! -  Portfolio Management for Investment Advisors (IA INT) 11476 Overview
NEW! -  Preventing Personal Identity Theft (IA INT) 11474 Overview
NEW! -  Preventing Sexual Harassment (IA INT) 11218 Overview
NEW! -  Privacy and Confidentiality for Investment Advisors (IA INT) 11026 Overview
NEW! -  Privacy, Confidentiality, and Information Security (IA INT) 11183 Advanced
NEW! -  Regulation Best Interest (Reg BI) and Associated Materials (IA INT) 11708 Overview
SEC Rule 15c2-12 (INT) 9894 Overview
NEW! -  Senior Safe Act Training (IA INT) 11514 Overview
NEW! -  Social Media for Investment Advisers (IA INT) 10639 Overview
NEW! -  Structured Products (IA INT) 11291 Intermediate
NEW! -  Supervising Alternative Investments (IA INT) 11295 Overview
NEW! -  Trading Practices for Investment Advisers (IA INT) 11033 Overview
NEW! -  Understanding the Office of Foreign Assets Control (OFAC) (IA INT) 11296 Overview
NEW! -  Whistleblower Rule Compliance (IA INT) 11281 Overview
NEW! -  Wrap Fee Accounts (IA INT) 11248 Intermediate