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2019 Investment Advisor Course Catalog

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Course Course ID Level
A Professionals Guide to Ethical Decision Making (IA) 8087 Overview
Advanced Anti-Money Laundering Overview (IA) 8103 Advanced
Advanced Look at Collective Funds (IA) 8091 Advanced
Advanced Look at Insider Trading (IA INT) 9625 Advanced
Advanced Look at Insider Trading (IA) 8092 Advanced
NEW! -  Advertising Guidelines for Investment Advisers (IA INT) 11008 Overview
Alternative Investments (INT) 10731 Intermediate
An Introduction to Collective Funds (IA) 8093 Overview
An Overview of Fixed Income Securities (IA) 9478 Overview
Anti-Fraud Programs and Controls for the Investment Advisor (IA) 2528 Advanced
Anti-Money Laundering for Financial Services Professionals (IA) 8104 Overview
Anti-Money Laundering for Investment Advisers (INT) 10670 Intermediate
NEW! -  Anti-Money Laundering Regulations and Red Flag Requirements for the Investment Adviser (IA INT) 11043 Overview
Anti-Money Laundering: Technological Challenges (IA) 8772 Overview
Client Suitability for the Investment Advisor (IA INT) 10122 Overview
Code of Conduct (IA) 3862 Overview
Conflicts of Interest and Investment Advisers (IA INT) 9628 Intermediate
Conflicts of Interest and Investment Advisers (IA) 9264 Intermediate
Corporate Bonds (FE) 9477 Intermediate
Customer Data Protection (IA INT) 9624 Overview
Customer Data Protection (IA) 8094 Overview
Cybersecurity (IA INT) 8776 Overview
Cybersecurity (IA) 8300 Intermediate
Cybersecurity: Phishing (IA) 8341 Intermediate
Due Diligence for Investment Advisers (IA) 8083 Overview
Effective Marketing Strategies Utilizing Social Media (IA INT) 10141 Intermediate
Ethics and Professional Conduct (IA INT) 9627 Overview
Ethics and Professional Conduct (IA) 8105 Overview
Ethics for the Financial Services Professional (IA) 8088 Overview
Financial Exploitation of Specified Adults & Customer Account Information (IA) 9515 Overview
FINRA and SEC Examination Priorities for 2017 (IA) 8331 Overview
NEW! -  Foreign Corrupt Practices Act (IA INT) 11045 Overview
Harassment and Discrimination in a Professional Environment (IA) 8089 Intermediate
Harassment and Discrimination in a Professional Environment for Supervisors (IA) 8090 Overview
Identity Theft Prevention and the Financial Services Industry (IA) 8096 Overview
Information Security: Protecting You, Your Clients and Your Firm for the Investment Adviser (IA INT) 10538 Overview
Insider Trading (IA INT) 9112 Overview
Insider Trading (IA) 8097 Overview
Insider Trading: The Illegal Side (IA) 8098 Intermediate
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
Net Unrealized Appreciation (IA) 8470 Intermediate
Online Identity Theft Scams (IA) 8099 Overview
Personal Securities Transactions for Investment Advisers (IA INT) 9629 Intermediate
Personal Securities Transactions for Investment Advisers (IA) 9229 Intermediate
Phishing Awareness - The Human Factor of Security (IA) 9060 Overview
NEW! -  Political Contributions and Pay-to-Play for Investment Advisors (IA INT) 10934 Overview
Preventing Personal Identity Theft (IA) 8100 Overview
Preventing Sexual Harassment (IA) 8101 Overview
NEW! -  Privacy and Confidentiality for Investment Advisors (IA INT) 11026 Overview
Privacy, Confidentiality, and Information Security (IA) 8102 Advanced
SEC Rule 15c2-12 (IA) 8770 Overview
SEC Rule 15c2-12 (INT) 9894 Overview
NEW! -  Social Media for Investment Advisers (IA INT) 10639 Overview
Structured Products (IA) 3861 Intermediate
Supervising Alternative Investments (IA) 8769 Overview
NEW! -  Trading Practices for Investment Advisers (IA INT) 11033 Overview
Understanding the Office of Foreign Assets Control (OFAC) (IA) 8317 Overview
Whistleblower Rule Compliance (IA) 8291 Overview
Wrap Fee Accounts (IA) 3863 Intermediate