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2022 Investment Advisor Course Catalog
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Course Course ID Level
A Professionals Guide to Ethical Decision Making (IA INT) 11222 Overview
Advanced Anti-Money Laundering Overview (IA INT) 11185 Advanced
Advanced Look at Collective Funds (IA) 8091 Advanced
Advanced Look at Insider Trading (IA INT) 11196 Advanced
Advertising Guidelines for Investment Advisers (IA INT) 11008 Overview
NEW! -  Alternative Investment Compliance Issues for RIAs (IA INT) 17830 Overview
Alternative Investments (FE INT) 10731 Intermediate
An Introduction to Collective Funds (IA) 8093 Overview
An Overview of Fixed Income Securities (IA INT) 11269 Overview
NEW! -  An Overview to the Custody Rule (IA INT) 17828 Overview
NEW! -  Annual AML Update: Cryptocurrency, Regulatory Guidance, and Enforcement (INT) 17577 Overview
Annual AML Update: Review of Regulatory Guidance and Enforcement (IA INT) 12609 Overview
Anti-Fraud Programs and Controls for the Investment Advisor (IA) 2528 Advanced
Anti-Money Laundering for Financial Services Professionals (IA INT) 11205 Overview
Anti-Money Laundering for Investment Advisers (INT) 10670 Intermediate
Anti-Money Laundering Regulations and Red Flag Requirements for U.S. Investment Advisers (IA INT) 11043 Overview
Anti-Money Laundering: Regulatory Impact of Custodial Relationships with Investment Advisors (IA INT) 11396 Overview
Anti-Money Laundering: Technological Challenges (IA INT) 11277 Overview
NEW! -  Challenges Facing New CCOs (IA INT) 17832 Overview
Client Suitability for the Investment Advisor (IA INT) 10122 Overview
Code of Conduct (IA INT) 11272 Overview
Conducting Business in a Pandemic: BCP and Regulatory Guidance (IA INT) 15392 Overview
Conflicts of Interest and Investment Advisers (IA INT) 11273 Intermediate
Corporate Bonds (FE INT) 12404 Overview
Customer Complaints and Dispute Resolution (IA INT) 12685 Overview
Customer Data Protection (IA INT) 11193 Overview
Cybersecurity (IA INT) 11130 Intermediate
Cybersecurity: Modern Regulatory Resources and Case Studies (IA INT) 16017 Overview
Cybersecurity: Phishing (IA INT) 11178 Intermediate
Department of Labor Prohibited Transaction Exemptions (IA INT) 17213 Overview
Due Diligence for Investment Advisers (IA INT) 11228 Overview
Effective Marketing Strategies Utilizing Social Media (IA INT) 10141 Intermediate
Ethics and Professional Conduct (IA INT) 11210 Overview
Ethics for the Financial Services Professional (IA INT) 11274 Overview
Financial Exploitation of Specified Adults & Customer Account Information (IA INT) 11285 Overview
FINRA and SEC Examination Priorities for 2020 (IA INT) 12650 Overview
FINRA and SEC Examination Priorities for 2021 (IA INT) 16006 Overview
NEW! -  FINRA and SEC Examination Priorities for 2022 (IA INT) 17904 Overview
Fixed Income Transaction Reporting (IA INT) 12704 Overview
Foreign Corrupt Practices Act (IA INT) 11045 Overview
Harassment and Discrimination in a Professional Environment (IA INT) 11215 Overview
Harassment and Discrimination in a Professional Environment for Supervisors (IA INT) 11286 Overview
How to Work with Millennial Investors (IA INT) 12536 Intermediate
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
Insider Trading (IA INT) 11276 Overview
Insider Trading: The Illegal Side (IA INT) 11287 Intermediate
Introduction to Investment Adviser Compliance (IA INT) 16842 Overview
Introduction to Retirement Plans (IA INT) 16208 Overview
Introduction to the Industry for Investment Advisors (INT) 11549 Overview
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
Investment Suitability for Clients (IA INT) 17295 Overview
Net Unrealized Appreciation (IA INT) 11278 Overview
New York's Best Interest Amendment to Regulation 187 (IA) 11377 Overview
NY & NYC Combating Sexual Harassment in the Workplace (IA INT) 13056 Overview
NY Combating Sexual Harassment in the Workplace (IA INT) 13057 Overview
Online Identity Theft Scams (IA INT) 11206 Overview
Personal Securities Transactions for Investment Advisers (IA INT) 11279 Intermediate
Phishing Awareness - The Human Factor of Security (IA INT) 11280 Overview
Political Contributions and Pay-to-Play for Investment Advisors (IA INT) 10934 Overview
Portfolio Management for Investment Advisors (IA INT) 11476 Overview
Preventing Personal Identity Theft (IA INT) 11474 Overview
Preventing Sexual Harassment (IA INT) 11218 Overview
Privacy and Confidentiality for Investment Advisors (IA INT) 11026 Overview
Privacy, Confidentiality, and Information Security (IA INT) 11183 Advanced
Reg BI Considerations for Variable Annuity Recommendations (IA INT) 15763 Overview
Regulation Best Interest (Reg BI) and Associated Materials (IA INT) 11708 Overview
SEC Regulation Best Interest FAQs, Guidance and Exam Preparedness (IA INT) 13067 Overview
SEC Rule 15c2-12 (INT) 9894 Overview
SECURE Act of 2019 (IA INT) 12670 Overview
Security Best Practices for Remote Workers Amid COVID-19 (IA INT) 12752 Overview
Senior Safe Act Training (IA INT) 11514 Overview
Social Media for Investment Advisers (IA INT) 10639 Overview
Structured Products (IA INT) 11291 Intermediate
Suitability Considerations 16843 Overview
Supervising Alternative Investments (IA INT) 11295 Overview
NEW! -  The ABC's of ESG - Environmental, Social and Governance Investing (IA INT) 17594 Intermediate
The SEC's New Marketing Rule: Updated Guidance for Investment Advisors (IA INT) 15908 Overview
Trading Practices for Investment Advisers (IA INT) 11033 Overview
Understanding the Office of Foreign Assets Control (OFAC) (IA INT) 11296 Overview
Whistleblower Rule Compliance (IA INT) 11281 Overview
Working Towards Diversity and Inclusion in the Workplace (IA INT) 13068 Overview
Wrap Fee Accounts (IA INT) 11248 Intermediate