Along with enormous potential and extraordinary market volatility, cryptocurrency comes with the threat of abuses and criminal activity. This course will discuss the development of this new technology, its explosive growth and subsequent setbacks, the nascent development of regulations to provide investor protections and some of the criminal cases that highlight cryptocurrency's vulnerability.
This course is intended for retail representatives, institutional representatives, investment advisers, supervisors or any financial service industry professional interested in learning how industry rules apply to the use and supervision of customer data. Under SEC Rule 30 of Regulation S-P, member firms and other financial institutions, are required to adopt written policies and procedures that address safeguards for the protection and disposal of customer records and information. As a registered representative, you need to know and follow your firm's policies and procedures for customer data protection. Failing to protect nonpublic personal information (NPI) subjects customers to identify theft. This course discusses ways in which client data can be compromised should you fail to recognize and implement security measures in your practice. Making certain to implement firm requirements with an ability to recognize and avert potential vulnerabilities will help ensure proprietary and customer data is not compromised. Please note: This course includes audio on each page.
17699
42
36
- Identity Theft
- Federal Customer Data Safety Requirements and their Sources
- FACTA Red Flags Rule
- Privacy and Protection
- Exploitation of Data, Systems, Firms, and Customers
- Cyber Criminals vs Traditional Criminals
- Technology and Software/Hardware Breaches
- Examples of System Failures
Customer Data Protection and the Municipal Securities Representative (FE INT)
11469
Overview
This course is intended for municipal representatives, supervisors, investment advisers or any financial service industry professional interested in learning how industry rules apply to the use and supervision of customer data. As a municipal representative, you need to know and follow your firm's policies and procedures for customer data protection. Failing to protect non-public customer information can make your customer vulnerable to identify theft. This is a serious issue for many businesses within, as well as outside of, the securities industry.
11469
19
15
- SEC Rule 30 of Regulation S-P
- Data Vulnerability
- Municipal Representative Responsibilities
- Examples of Customer Data Protection for the Municipal Securities Representative
- Conclusion
Cybersecurity & FINRA (FE INT)
17702
Overview
This course will examine various targets and types of cyber-attacks, their threat to the financial industry, disclosure requirements for FINRA registered firms, regulatory measures to prevent cybercrimes and practical steps toward cybersecurity. We will also discuss recent FINRA guidance, including the presence of cybersecurity in the Regulatory and Examinations Priorities Letter, the Report on Cybersecurity Practices, and Investor Alerts warning investors about cyber threats. Practical advice for representatives on steps to reduce risk will be discussed, as well as the consequences to firms for failing to protect against cybersecurity threats. Please note: This course includes audio on each page.
17702
31
22
- Unauthorized access
- Operational disruption
- Disclosure of risk factors and cyber-attack events
- Regulatory guidance and rulemaking
- FINRA Regulatory and Examinations Priorities Letter
- FINRA Report on Cybersecurity Practices
- FINRA Investor Alerts
- Steps toward cybersecurity
Cybersecurity (FE INT)
17701
Intermediate
This course will examine various targets and types of cyber-attacks, their threat to the financial industry, disclosure requirements for FINRA registered firms, regulatory measures to prevent cybercrimes and practical steps toward cybersecurity. We will also discuss recent FINRA guidance, including the presence of cybersecurity in the Regulatory and Examinations Priorities Letter, the Report on Cybersecurity Practices, and Investor Alerts warning investors about cyber threats. Practical advice for representatives on steps to reduce risk will be discussed, as well as the consequences to firms for failing to protect against cybersecurity threats. Please note: This course includes audio on each page.
17701
35
27
- Unauthorized access
- Operational disruption
-Disclosure of risk factors and cyber-attack events
- Regulatory guidance and rulemaking
- FINRA Regulatory and Examinations Priorities Letter
- FINRA Report on Cybersecurity Practices
- FINRA Investor Alerts
- Steps toward cybersecurity
Cybersecurity for Registered Representatives (FE INT)
17705
Intermediate
This course examines the various targets and types of cyber attacks, their threat to the financial industry, disclosure requirements for FINRA registered firms, regulatory measures to prevent cyber crimes and practical steps toward cybersecurity. Please note: This course includes audio on each page.
17705
40
32
- Unauthorized access - Operational disruption - Disclosure of risk factors and cyber attack events - Regulatory guidance and rulemaking - Steps toward cybersecurity
Cybersecurity for Supervisors (FE INT)
10698
Overview
This course examines the various targets and types of cyber attacks, their threat to the financial industry, disclosure requirements for FINRA registered firms, regulatory measures to prevent cyber crimes and practical steps toward cybersecurity.
10698
38
40
- Unauthorized access - Operational disruption - Disclosure of risk factors and cyber attack events - Regulatory guidance and rulemaking - Steps toward cybersecurity
Cybersecurity: Modern Regulatory Resources and Case Studies (FE INT)
16763
Overview
This course is focused on two related cybersecurity topics facing FINRA member firms: Regulatory guidance deriving from the exam and risk monitoring program cycle and the regulatory resources available to help prevent the loss of data, loss of customer confidence, increased reputation risk, and regulatory discipline. The course utilizes regulatory guidance, notices, and case studies to help firms and their associated persons understand the risk monitoring required for a robust cybersecurity program.
16763
33
30
Cybersecurity: Phishing (FE INT)
17707
Intermediate
As firms increase reliance on technology to conduct their operations, the risks to firms associated with cybersecurity continue to increase. This course provides representatives with background knowledge of cybersecurity risks and best practices, including phishing tactics, vendor management controls, information sharing and much more. Please note: This course includes audio on each page.
17707
21
17
- Cybersecurity
- Phishing
Identity Theft Prevention and the Financial Services Industry (FE INT)
17731
Overview
This course is intended for anyone working in the financial services industry that may have contact with sensitive customer information. This course is beneficial for all firms, as training is required to comply with the Federal Trade Commission FACT Act Identity Theft Rules. This course examines the primary rules that protect customer information and the role that employees play in identifying identity theft red flags. Finally, the course uncovers the various methods used by hackers to steal customer identities. Please note: This course includes audio on each page.
17731
31
19
- A Consumer Issue for Business
- Definition of Identity Theft
- Asses Your Business Risk
- Data Collection & Best Practices
- Tips for Reducing Risk
- Disclosure & Systems Security
- Proper Data Disposal
- What to do When a Thief Strikes
- Investigation & Informing Customers of Problems
- Dealing with the Media
- Customer Trust and Loyalty
Identity Theft: It's Everyone's Business (FE INT)
17733
Overview
The federal financial regulatory agencies have adopted and enforced robust data security standards for entities under their jurisdiction. Protection of financial and personal customer information is a key responsibility and obligation of FINRA member firms. This course provides representatives with a comprehensive overview of identity theft, as well as the things they can do while conducting their day-to-day business to help ensure consumer data is kept out of the hands of criminals. Please note: This course includes audio on each page.
17733
24
19
- Who pays the price?
- What is identity theft?
- Ways to Steal an Identity
- Mitigating the Risk
- Steps to Recover from Identity Theft
Information Security: Protecting You, Your Clients and Your Firm for the Investment Adviser (FE INT)
10690
Overview
Information Security plays an important role in our lives, both at home and at work. Its primary goal is preserving the confidentiality, integrity and availability of information and information systems. This course will cover the key principles to ensure employees do everything possible to maintain the integrity of confidential information at the firm.
10690
20
10
Information Security: Protecting You, Your Clients, and Your Firm (FE INT)
17735
Overview
This course covers concepts to help registered representatives and supervisors understand procedures for protecting confidential personal customer information and detecting possible breaches in information security. It provides suggestions for what to do if customer information is compromised and steps to take to better protect this information. The objective of this course is to educate representatives on the importance of protecting client information. Information assets and physical property are constantly exposed to threats such as natural disasters, computer viruses and criminal actions. We can all contribute to managing the risks that come with these threats. Understanding your individual and professional responsibility is the first step in this contribution. Information security is an integral part of the services we provide and helps to protect our reputations and brands. Please note: This course includes audio on each page.
17735
18
8
- Definition of Sensitive Information - Public Information & Restricted Information - Confidential Information & Information Security - Computer Passwords - Storage of Electronic Information - Social Engineering and Identity Theft - Rules to Follow
Phishing Awareness - The Human Factor of Security (FE INT)
10678
Overview
Targeted phishing attacks are the most significant threats to organizations operating in today's digital business environment. This problem has costly consequences for organizations and is often the result of unprepared individuals at affected companies. We can reduce this threat by educating employees on the types of attacks happening today and becoming aware of how to deal with each scenario safely. This course will review common phishing attacks currently seen by organizations, discuss how they work and provide strategies to protect your organization from falling victim to one of these scams.
10678
25
20
- Phishing Defined
- Goals and Impact of a Phishing Attack
- Phishing Techniques and Characteristics
- Examples of Phishing Emails
- How to Prevent Phishing Attacks
Preventing Personal Identity Theft (FE INT)
11573
Overview
This course is intended for retail representatives, institutional representatives, investment advisers, supervisors or any financial service industry professional interested in learning more about how to prevent personal identity theft and what they need to do to ensure that they and their clients are not a victim of this crime. Unfortunately, phishing is a growing way to steal someone's identity. And it's only one way. Identity thieves can take your personal information from your mailbox or your home. They can steal your wallet or purse or convince you to give out personal information. We all have to be on our guard. This course teaches you how.
11573
33
30
- Identity Theft Description
- Impact of Identity Theft
- Security Measures You Can Take
- Personal Information
- How Do Thieves Steal Your Identity
- Identity Safety Checklist
Privacy, Confidentiality, and Information Security (FE INT)
17752
Advanced
This course outlines privacy and confidentiality rights and protections, as well as some of the latest threats and methods for protecting electronic data, including emails, wireless networks and mobile devices.
17752
30
20
- Privacy rights
- Confidentiality protections
- Information security programs
- Assessment of risk exposures and tolerances
- Adoption of an information governance system
- Creation of an information management program
- Training
- Limiting liability
- Trend watching for new threats and developments
